Compliance Net

Firm-wide solution designed to eliminate Know Your Client and supervision problems for the compliance department, branch managers and advisors. 

All advisors now receive access to units of OASIS when Compliance Net is implemented by a firm’s compliance department, or by a branch office at no extra charge.

Prices:

Canadian mutual & seg fund universe and/or North American stock universe: 

· Starting from as little as $1800/month

· OTC Bulletin Board, London, Hong Kong and Singapore Stock Exchanges available on request

· North American Bond data feeds available on request

OASIS

North America’s first EIM (Electronic Investment Management) Process.  The EIM Process reduces the amount of unfulfilling, mind-numbing work advisors routinely complain about. 

Prices listed below are in effect when implementing OASIS without Compliance Net.

Prices:

Initial Setup and training:               $1750/branch—one-time fee

Ongoing lease fee:                            $200/advisor/month

10 or more advisors:                         $150/advisor/month