The Database Module (DBM) is a unique and powerful database that manages securities and insurance compliance data in one centralized solution. DBM offers the ability to view, track and manage data for carrier, firm, branches and individual registered representatives and producers.
Key Functions:
- Producer portal
- CE tracking
- Access to profile pages
- NIPRSM alerts
- Just in Time processing
- FINRA® downloads
- Branch audit management
- Complaints tracking
- Heightened supervision
- Reminder and system notifications
Company benefits include:
- Enhance compliance processes
- Gain data integrity
- Reduce compliance risk
- Automate data population to reduce manual errors
Registered representative and producer benefits include:
- Improve (producer/registered representative) client communication through the Producer Portal
- Save time utilizing data collection processes
- Increased data accuracy by implementing validation rules
- Improve productivity, and therefore production, of producers/registered representatives