Keep KYC on your radar.
See current, expiring and expired KYC records, alongside records without a valid date. Prioritise the client conversations and updates that are due.
Give reviews a clearer path.
A rules engine grounded in CIRO frameworks for mutual fund dealers and advisors helps your team stay ahead of reviews. Bring KYC deadlines, risk-band mismatches, social media and advertising review into view.
See Compliance in action- 01Requirements
- 02Review queue
- 03Recorded decision
ComplianceKeep the useful
Keep the useful
context close.
- Surface KYC records approaching review or expiry
- Flag risk above the client’s recorded tolerance for assessment
- Review supported social media and advertising content against firm requirements
- Follow the evidence and record the review in an audit trail
“What still needs a review?”
ADVISOR COMPLIANCEStay ahead of the review.
Stay ahead of the review.
Keep your clients in focus.
KYC, risk bands and public communications belong in the same view of your practice. Hanna helps organise the records and potential issues that need your attention.
Review risk bands in context.
Compare recorded client risk tolerance with portfolio risk indicators. Investigate mismatches and document the rationale for the next step.
Review social media and advertising.
Bring supported website, social and advertising content into review. Check claims, disclosures and firm requirements, then record corrections and follow-up. Coverage depends on the channels and integrations enabled.
A MORE CONNECTED DAYLet’s make room for
Let’s make room for
the work that matters.
Take a guided look at Hanna, from the first client question to the next step.
See Hanna in action