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COMPLIANCE

Easily deploy, integrate and scale advisor/agent-client digital communications – compliantly

Allows compliance and supervision teams to easily comply with complex regulatory requirements, adding channels and advisors without extra staff.

Capture, monitor and supervise
across digital channels
 

Amplispot provides a single system for firms to manage communications and advertising compliance across advisor/agent social media, local websites, and text messaging.

 

The Universal Supervision Dashboard aggregates field activity in a single contextual view; supervisors can use context and history to make faster approval decisions

Pre-approve content

For content that is considered static advertising, pre-approval is necessary. Amplispot content allows teams to distribute pre-approved content and compliance to pre-review static or advertising communication before it is shared

by advisors/agents in the field

Unified view of advisor activity for
efficient supervision

Amplispot’s unique Universal Supervision Dashboard view aggregates advisor activity across digital channels for a single contextual view, so supervisors can use context and history to make faster approval decisions. Amplispot is optimized so each compliance user can supervise more individuals across more

channels

Easily create & adjust policies
 

Each company’s policy is different and policies often change over time. Amplispot provides flexible policy controls so compliance leaders can create and adjust policies based on evolving company standards and changes in regulations

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