SmartIQ for Wealth Management | Smart Communications

Is your solution compliant with industry regulations and local data privacy laws?

Yes, our solutions are fully compliant with industry regulations and support compliance with local laws, including KYC and AML/CFT regulations across the globe; Finra, SEC, and FinCEN rules and regulations in the US; Consumer Duty, MiFID II, and GDPR in the UK and EU; FOFA in Australia; and FAA and PDPA in Singapore, among others.

Smart Communications takes the protection of your and your clients’ data as a top priority. We ensure that data is collected and communications are delivered in a compliant manner, safeguarding privacy at every client interaction.

What variety of use cases does it address?

Some of the most common use cases include:

Account opening. Streamline the account setup process with automated data collection and e-Signatures.
Risk Profiling. Efficiently assess and manage client risk profiles.
KYC/AML Processes. Simplify the collection and processing of necessary client data to meet compliance requirements.
Automating Client Account Documentation such as IPS, client reports, holdings, and transactions reports, presentations, pitchbooks, annual reviews, and more.
Advisor Onboarding. Facilitate the onboarding process for new advisors, ensuring smooth integration of their book of business.
Client Service Requests. Automate and manage service requests, including transaction requests, changes to PII, updating client documentation, and more.
Legally-binding Forms. Automate and digitize legally binding forms, such as W-9s, advisory agreements, investment policy statements, and more.

Can SmartIQ integrate with Salesforce and core wealth management systems?

Absolutely. SmartIQ offers native connectors and an open REST API for popular CRMs, DocuSign, and other core systems such as trading and portfolio accounting. When you choose Smart Communications, you gain the freedom to select your preferred technologies without worrying about future compatibility issues.

What's the average NIGO reduction SmartIQ delivers?

Wealth management firms report a drop in Not‑in‑Good‑Order submissions from industry averages of 25% or more to less than 2% after deploying SmartIQ.

How long does digital onboarding take with SmartIQ?

Most of our wealth management clients licensing SmartIQ are able to reduce onboarding time from weeks to hours.

What is the cost structure?

Forms can be updated as few or as many times as needed throughout the life of a project without having to create a new project. Changes can be made in a sandbox environment, tested, and then pushed to production – or they can be made directly in the production environment and pushed live immediately. It just depends on the nature of the change (how simple or complex) and how the business likes to implement changes to content. Want to see it in action? Request a personalized demo.

What is the cost structure?

Forms can be updated as few or as many times as needed throughout the life of a project without having to create a new project. Changes can be made in a sandbox environment, tested, and then pushed to production – or they can be made directly in the production environment and pushed live immediately. It just depends on the nature of the change (how simple or complex) and how the business likes to implement changes to content. Want to see it in action? Request a personalized demo.

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