| 摘要 |
An interactive system for managing records of a financial advisor by a service provider on behalf of the financial advisor. The system includes a financial advisor management application that provides a user interface displayed on the financial advisor computer, which receives, stores, and provides information regarding clients, the financial advisor and the financial advisor practice via multiple system tools. One system tool, in particular, the regulatory compliance tool, monitors the information and creates and stores client files for complying with various financial audit requirements.
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