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Supervision (Rule 3010, 3012 and 3013)
The TurboComplianceSM
Platform provides several unique functions to automate the supervision of email
that relates to the Advisers business activities, including:
- Automated classification of email as “business”, “personal” or “attorney/client privileged”
- The ability to apply a different compliance-rules engine based
upon the classification of email
Automated monitoring of outgoing communications marked “business” for incompliance words and phrases, by:
- Preventing the transmission of the email containing incompliant words/phases (“promise”, “guarantee”, etc.)
- Reporting the act of incompliance up the chain of command
- Documenting all incompliance on each person’s Compliance ScoreCardSM
- Sanctions each member of the firm based upon the CCO’s customized compliance rules, formulas, schedules
- Preparing your Annual Review and satisfying all Recordkeeping requirements
Automated monitoring of all incoming communications by:
- Alerting the CCO to any messages which rise to the level of a complaint
- Filing the communication in the appropriate Complaint File
- Documenting the incompliance on the appropriate Compliance ScoreCard
- Sanctioning the employee per the CCO’s schedule
- Evaluating the materiality, placing the same on your Annual Review upon breach of the appropriate threshold
The ability to automatically conduct interim and annual audits of your electronic communications,
based upon your CCO’s interim or mock audit parameters.
Consequently, TurboCompliance provides a 360 degree internal control structure around your electronic
communication and CRM processes, providing the “culture of compliance” expected by the SEC.
TurboCompliance delivers a complete 3012 and 3013 supervisory control structure.
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