Linking Systems

Complii creates the link between management to advisors that exceeds the general and specific enquiries of ASIC’s markets teams. It assists in the compliance of securities and derivatives AFSL’s and has been developed by Zettaserve which is a national IT firm as an SQL database that links to your existing platform providers such as IRESS (Advisor) and GBST Advisor, ETrade and your settlement, clearing and execution house if need be.

Data Security

The online system is a secure data link that displays data and alert appointed users to compliance events that need to be efficiently monitored and processed. All processes are time & date stamped facilitating internal audit requirements as well as providing relevant reports to external bodies such as ASIC.  All events and documents are then saved and the system is backed up each day out of office hours to hard drive and to offsite backup. The Australian requirement of seven years of retained records can easily be met using Complii.   If required, system generated emails would be readily accessible from the virtual server or recovered from the backup files that are held off site and on site.

Reduce Paper – Reduce Costs

SOA’s, SOAA’s and Further Advice and Record of Advice will also be sent and stored electronically in Complii and attached to the individual clients’ electronic account.  Again this is readily accessible from the Complii and is regularly backed up if required to be recovered.

All items are emailed to the clients and if the email bounces it bounces to the responsible manager who can then deal with the bounce with an amended email address or by posting out to the physical address. If the client does not have an email then the item is printed and it is logged to the system that it was printed and not emailed.