Advisers and dealer groups rely on XPLAN's built in alerts and compliance components to stay current with client processes and monitor business behaviour.
Client and business alerts.
Apply automated exception-based rules across an entire client database, leveraging off consolidated client and portfolio data.
Monitor client data via an alert mechanism, and report on trend and risk management for dealer audit teams.
Rule criteria encompasses all XPLAN modules, and allows filtering of client breaches and setting of priority and breach levels. Defined follow-up actions ensure alerts are never missed.
Integrated business compliance.
XPLAN maintains a full audit trail of all changes made in the system, and lets you record information against each XPLAN user to support compliance, audit and training register for advisers and staff.
It also lets you store and easily retrieve all correspondence items stored in the system, making dealer group and compliance management easy.
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Features
- Warnings of portfolio data anomalies
- Alerts for sales opportunities
- Risk management for PI insurance
- Workflow integrated
- Create complex rule criteria
- Breach reporting.
Product: XPLAN Alerts Manager, XPLAN Client Focus
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"Active portfolio monitoring translates to brand protection."
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