Compliance TRACKR saves financial advisors time, money and effort while keeping them in compliance with burdensome disclosure requirements.

The Compliance TRACKR from Docupace delivers end-to-end processing, tracking, storage and audit functionality to meet all current disclosure requirements with a “digital first” mindset.

  • Fully digitize Reg BI (Form CRS), Form ADV and DOL Rule disclosure experience through automated workflows and CRM integration
  • Store records in a FINRA/SEC compliant (17a-3 and 17a-4) and hyper-secure digital vault
  • Audit trail and real-time reporting capabilities on demand
  • Proprietary “digital first, analog second” client attestation process ensures time stamped delivery of disclosures

Ready to Streamline Compliance Disclosures?

Schedule a one-on-one session with a Solutions Expert.