In this article, we will go over how compliance officers and advisors can access and manage saved client work within CapIntel for compliance review purposes.
Please note that the following features are available to our enterprise customers only and may not be available in your environment as each environment has a customized experience. KYP and KYC are additional features only available for enterprise plans.
Accessing Saved Client Comparisons
As a compliance officer, viewing client suitability and comparisons directly on the platform can be completed easily. To access this view, ensure you have the necessary delegate access licence and switch profiles to the advisor you wish to review under your avatar in the top right corner of the platform.
From the home page of the advisor's account, you will be able to access client comparisons and suitability. To do so, navigate to the relevant client folder where you can review client comparisons and suitability assessments performed by the advisor.
Once a client comparison has been opened, the comparison will display the historical data and the suitability form can be viewed directly in this screen, or a report can be generated by choosing "Export Proposal" and following the steps to download to your computer.
Accessing Compliance Comparisons
You can also access the “Compliance" tab under Comparisons, where all previously reviewed KYPs conducted by the advisor will be stored. Each of these reviews can be opened and a report can be generated if required.
Receiving Exported Comparisons from Advisors
If you do not have direct access to the platform, you can still review completed work through documents exported by advisors.
Advisors can assist by navigating to the “Compliance” tab where they can generate an export of the required comparison, showing the KYP completion.
Once the advisor has exported the proposal, they can share this document directly with your compliance team. Depending on what you require for compliance purposes, advisors can also include other relevant comparisons done at the client level by opening the comparisons from their client's profile and generating a report.