A convenient, effective, efficient, and affordable Breach Reporting Assessment tool for financial advisers.

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Your time is valuable and maintaining your commitment to compliance and regulation can be all consuming. We know firsthand that reportability assessments can take a long time and can involve many different stakeholders. As of October 1, the changes in legislation have impacted assessment and investigation timeframes; sometimes taking prolonged timeframes to investigate, assess and remediate. These timeframes are no longer deemed acceptable by any standard. (see: Breach Reporting : A shortcut to avoiding a regulatory uppercut)

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The financial advice industry has and continues to experience increasing compliance cost burden.

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We have developed a solution to help ease that burden.

 

You now have access to an effective and convenient tool to efficiently assist in assessing the potential risk of an incident or situation being a Relevant Reportable breach.