Compliance
Promote best practices to help every advisor succeed.
Distribute Portfolio Reports to Meet FINRA & SEC Requirements
YCharts offers FINRA-reviewed and SEC-compliant report templates that can be fully customized to meet your firm’s specific needs, including displaying performance data net of advisory fees and max fees. These features help advisors engage with clients in a compliant manner, reducing the risk of providing misleading information.
Optimize Meeting Preparation & Research Workflows
Enhance efficiency and ensure compliance by automatically pushing home-office approved report templates and research lists to your teams. Available reports include FINRA-reviewed Overview & Comparison Reports, along with Side-by-Side Comparison Reports and Tearsheets, suitable for the full spectrum of client conversations.
Watch to learn how YCharts addresses compliance needs
Customize & Implement Disclosure Language Across Deliverables
YCharts partners with you to ensure all required disclosure language and firm-specific information is included on all exportable assets, ensuring full compliance for your advisors. Additionally, YCharts’ Dynamic Disclosure tool seamlessly generates comprehensive, compliant disclosures based on the securities, metrics, and performance data in reports and proposals.
Manage Access to Datasets, Features & Tools for All Users
Control which users can generate reports or other functionalities and outputs in YCharts in a matter of clicks to support compliant asset gathering. To drive alignment, home office users control “edit” and “view” access for all portfolios, charts, screens, watchlists & more. Additionally, compliance administrators can view and audit all reports generated by the firm’s users to ensure consistency across teams.
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