Maintenance Programs
Ongoing compliance can often take up a lot of time that you could be using to consult with clients. Swayze's approach allows you to minimize the burden of paperwork so you can focus on running your business.
Your business is unique to you and we want your compliance program to reflect how you do business while still meeting regulatory requirements. Our offerings can be customized for any RIA, including private funds.
All of our clients who engage us on an ongoing basis have access to SwayzeConnect, our online client portal powered by ClioConnect.
SwayzeConnect, powered by Clio, is our cloud-based compliance interface software. Through SwayzeConnect, we can assist you in establishing a streamlined and efficient compliance program.
SwayzeConnect's features enable you to implement your compliance plan with ease by providing the following:
-
Compliance Calendar to schedule important upcoming dates on your compliance plan
-
Compliance task management to give you reminders and the ability to assign tasks to others
-
Secure messaging to your compliance consultant
-
Secure document sharing
-
Holding Reports/Personal Account Statement monitoring
-
Manage payments
