Users Group 2017
DOL Fiduciary Rule:
We are working with clients on load leveling, Grandfathered Accounts and trail separation by regular, qualified and grandfathered account status at the moment (Q4 of 2016)…more questions than answers. By May you will have
had twenty days of DOL real world experience and the list of system addressed topics will probably multiply.
The annual Users Group Meeting will be a good forum for you to compare your version of DOL solutions with your peers…hopefully you will have participated in the ongoing dialogues we are accommodating amongst our clients and in other industry
gatherings as well, such as ADISA and FSI.
If DOL was not occupying the seat, the 800-pound gorilla in the room would be FINRA’s cyber-security audit module. Just ask any politician how vulnerable private information is online and you may simply hope you
don’t come up on anyone’s radar as a target. That’s not your best plan and will not serve you all that well when answering the questionnaire during an audit. You can plan on cyber-security being on the agenda.
Enhanced Data Aggregation:
Tracking assets under management and total account activity (not just commissionable trades), identifying and managing qualified, non-qualified and grandfathered accounts, collecting current data from all possible sources and giving reps
and management enhanced reporting is continuing to drive a substantial block of our development attention. Couple this with progressively distracted and overloaded broker dealer staff and the need keeps rising for as much automation as
possible in the data gathering process. We are enhancing the data and report availability to the rep dashboard and extending much of the dashboard functionality to the broker dealer back office.
UI and UX:
User Interface and User eXperience go hand in hand…and they do not always lend themselves easily to “data” collection, processing and management. In simple terms, we are a “data” company that understands the need to pacify the aesthetic
demands of millennials. The goal is to appease their aesthetic sensibilities while impressing upon them the need for data integrity and financial controls so necessary in this industry. A driving force in our efforts to achieve this goal
is our commitment to making all our systems mobile friendly. Bring your tablets and smart phones so you can see for yourself what we have done.
Form Based Data Entry:
We can convert any form into a data gathering tool and we will be conducting a how to session on how you can map your own forms to your WinOPS database.
May 1st and 2nd, 2017
Holiday Inn Denver Lakewood
7390 West Hampden Lakewood, CO 80227
PRIOR to clicking Check Availability, or you will not be able to access your special rate.