Books and Records Administration
The M&O platform that can be configured to support the unique way that each broker/dealer collects and maintains customer account records including demographic and account suitability information. The platform provides critical support infrastructure that enables our clients to comply with essential regulatory rules such as SEC Rule 17a-3 and FINRA rules 4510, Customer Account Records and 2090, Know Your Customer.
How it Works
Generate Client Letters to Comply with SEC Rule 17a-3:
M&O configures your client account database with “triggers” that, when tripped, generate data sets so that your print vendor can generate and print the various types of letters. We can also use your stationary to create the letters and embed them in a file so they can be printed. The system can perform the following tasks:
  • Advisors and support staff can establish and maintain accounts remotely through the web-based M&O Advisor Portal.
  • M&O’s proprietary forms engine renders the broker/dealer’s account and disclosure forms dynamically based on the line of business and transaction type or source of funds (e.g. brokerage or alternative investment).
  • M&O provides optional links to industry leading carrier forms vendors such as Quik! and Laserapp.
  • Flexible workflow allows for remote OSJ approvals or direct routing to the home office.
  • Includes ad-hoc reporting tools for advisors to view their complete book of business.
  • Intuitive, intelligent interface for an exceptional advisor experience.
  • Load and manage and track contacts and turn them into invested clients.
  • Eliminate data entry omissions and errors – Get Compliant. Render broker/dealer forms with the M&O Forms Engine and carrier forms with optional interfaces to major forms providers.
  • Work baskets with heads up display of work-in-queue.
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