Financial - BrokerBooks™

When the Securities and Exchange Commission's books and records rules were amended in 2003, many financial broker-dealers and insurance agencies needed to implement a complete compliance solution.  DTSI has partnered with Planners and Advisors Resources, Inc. to developed a patent pending online records management system, BrokerBooks™, to assist broker-dealers with the new compliance regulations.  This unique, web-based data entry and report writing application maintains auditable securities records.  The application is hosted by DTSI using the highest security standards required to meet international banking and insurance security requirements.

BrokerBooks™ - Features

• Client suitability checking
• Client account surveillance
• Broker activity monitoring
• OFAC analysis (Patriot Act)
• Trade approval
• Exception reporting
• Electronic audit trail log
• E-mail monitoring