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Quest Compliance
Quest Compliance specializes in compliance technology for financial advisory firms, broker-dealers, and wealth management organizations, helping them meet regulatory requirements and manage risk.
Email: sales@questcompliance.com
Phone: +1 508-845-6500
Web: https://www.questcompliance.com/
products
Quest Audit Trail
Category: Audit Trail Systems
An audit trail system designed for financial advisors to document client interactions, recommendations, and compliance activities. Features include automated logging of advisory actions, suitability documentation, record retention, supervisory review workflows, and reporting capabilities for FINRA and SEC requirements..
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