For Securities Firms


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Automated Insurance Licensing and Compliance

for Securities Firms

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The Vertafore Producer Lifecycle Management solution drastically reduces the risk of non-compliance, speeds time-to-market and improves service to securities representatives and advisors. Vertafore offers the industry's only unified solution for managing insurance and securities compliance. Our flexible end-to-end solutions use automation and electronic processing to help securities firms streamline and simplify compliance processes and reduce human error.

You'll spend fewer work hours on compliance activities because our technology simplifies and automates tasks such as licensing, renewals, securities registration, education credentialing and terminations—enabling you to submit transactions electronically to any or all 50 states and FINRA via a single-source interface. As your securities representatives are completing the U4, we can get them licensed and appointed, and manage all of this information for you on an ongoing basis. Our tools provide improved data access and accuracy, helping you easily determine who is authorized to sell what product in what state.

Compliance Management System G2™

Accelerate the producer and representative sales authorization process by streamlining onboarding, licensing, registration, education, and appointments to reduce time to revenue while managing ongoing compliance more efficiently

  • Direct interfaces with regulatory entities (FINRA and State DOI’s) and background investigation vendors speeds processing and improves accuracy of regulatory data
  • Automated data collection workflows with carrier interfaces improves efficiency
  • Support for complex hierarchy management allows insight into individual, branch, firm, and carrier relationships
  • Robust education and compliance forms (OBA and ACQ) management capabilities reduce regulatory risk
  • Easy integration with existing distribution management systems provides flexibility
  • Ad hoc reporting provides better visibility into the performance of your business

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Licensing & Registration Services

Take advantage of our flexible outsourcing options and focus on selling business and servicing clients without disruptions.

  • Best-practice compliance process consulting keeps you ahead of the game
  • Special project assistance (i.e., mergers and acquisitions) helps you meet your compliance needs
  • Full-service licensing department to handle entire back office while you focus on taking care of your clients
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Compliance Express®

Efficiently perform state-required compliance transactions on behalf of all your representatives through direct, electronic connections to regulatory authorities.

  • Intuitive interface enables fast and easy online electronic licensing and appointing
  • Improved data accuracy decreases submission errors
  • Experts help you stay on top of ever-changing regulatory requirements

Contact us to see a demo and get started today!

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