Compliance

Plan History provides an organized record of data gathering, client interaction and engagement with the plan, and delivery of suggestions are all recorded automatically. This history allows advisors to know when their clients or other professionals log into the plan and make changes and provides information about their updates. 

Teams provides a way for compliance officers to be added to the team and to have access to the plans of one or more Advisors for easy online review.

Team and Advisor Settings allow branding, Portfolio Assumptions, and other values to be set once and applied to all plans under that level.  By using the option to prevent override, these settings can ensure compliance with required values.

Disclosure language can be added to the online experience for modern but compliant planning. 

Firms and advisors have complete control over access to their clients' plans. Third-party professionals can be given access on a plan/household level or to all plans for an advisor (via Teams).