June 10 2014 Agenda Situation Analysis Solution Requirements and Development Solution Delivery Measurable Benefits of the Solution Demonstration of the Solution Pinpoint Global Communications Confidential ID: 553808
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Annual Account Review
June 10, 2014Slide2
Agenda
Situation Analysis
Solution Requirements and Development Solution Delivery Measurable Benefits of the Solution
Demonstration of the Solution
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Situation Analysis – Investment Advisory AAR Process
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IARs utilized paper forms to satisfy this requirement
No process to determine status of reviews other than manual review by Branch Examiners
In regulatory or litigation situations, documentation was either missing or not in good order when requested. Slide4
Solution Requirements and Development
Establish electronic Annual Account ReviewDesign “smart form” and workflow for Annual Account Review submission & reviewProvide dashboards for IARs, Agency Supervisors & Compliance to manage submission status
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Solution Delivery
IARs access Dashboard & Smart Form via link on Guardian Online Compliance SystemSimplified form completion & submission processOSJs, ACOs and Home Office Compliance utilize Work Queue to access and approve/pend back to IARs the account submissions
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Measurable Benefits – What Improved?
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Dashboard and Reports provide IARs, OSJs and ACOs & Home Office real-time access to Account submission status
User feedback positive with several suggested enhancements
Cloning for Household Accounts
Delegation for field admin usage
Total number of approved submissions in the first three months:4526 accountsSlide7
Guardian AAR Demonstration
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