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DIVER Advisor is a comprehensive information delivery and compliance solution serving the Financial Advisor Network of our clients.

It is designed to improve customer satisfaction, while protecting the firm through a robust compliance infrastructure. Financial Advisors gain insights to activity around client positions through real-time notification on dashboards and easily access internal research and recommendations from Credit Analysts.

A simple to generate CUSIP-driven reporting module addresses two critical needs: email delivery of content-rich reports to your client and adherence to MSRB Rules, SEA and FINRA Compliance requirements.

  • Features
  • Benefits & Efficiencies

For Financial Advisors & Private Wealth Managers:

  • Dynamic Dashboard Presents Critical Information About Your Clients’ Accounts
    • Gives Instant Access to Information from Market Movements
  • Protection Through Simple to Generate and Easy to Deliver Client Reports

For Compliance & Legal:

  • Protects the Firm by Providing a Network-Wide Compliance Infrastructure
  • Ensures Adherence with FINRA, MSRB, SEC and Internal Reporting Requirements
  • Delivers “Material Facts” and Information “Reasonably Accessible to the Market”
    • MSRB Rules and FINRA Regulatory Notices -- Disclosure Required
    • “Firms … are obligated obtain, analyze and disclose all material facts known to the dealer, or that are reasonably accessible to the market and fully understand bonds they sell.” MSRB Rule G-17, Notice 2010-37
    • “…[M]ember firms are also required, under MSRB Rule G-17, to disclose to their customers, at or prior to a sale of securities to a customer, all material facts about the transaction known by the dealer as well as all material facts about the security that are reasonably accessible to the market.” FINRA January 31, 2012 letter to “Executive Representative/Chief Compliance Officer, Citing Regulatory Notice 10-41, September 2010
  • Addresses Supervisory Obligations
    • Supervise the Municipal Securities Activities of Associated Persons, Have Adequate Written Supervisory Procedures, and Implement Supervisory Controls to Ensure Their Supervisory Procedures are Adequate. MSRB Rule G-17.
    • Dealers Must Implement Processes to Ensure that Material Information Regarding Municipal Securities is Disseminated to Their Registered Representatives who are Engaged in Sales to and from Customers. MSRB Rule G-17.
  • Assists in Addressing Regulatory Requirements of Dodd Frank and the OCC
  • Offers an Alternative to Measure Ratings through Analytical Modules and Extensive Data

For Credit & Research:

  • Efficiently Disseminate Research, Recommendations and Sector-Based Credit Attributes Directly to the Desktops of the Entire Network of Financial Advisors
  • Real Time Information Regarding Advisor Activity Helps Refine Credit Research Focus

Benefits to Your Company:

  • Protect from Reputational Risk Through Better Control
  • Fact Based Delivery of Information and Data Supporting Compliance with the Latest Regulatory Requirements
  • Dissemination of Credit Research by CUSIP and the Ability to Annex Reports and Credit “Alerts”
  • Comprehensive Backend Tracking, Search and Reporting Platform for Compliance and FINRA Audits/Reviews
  • Central Control of All Credit and Compliance-Related Report Attributes

Benefits to Financial Advisors:

  • Increase Customer Satisfaction
  • Real-Time Alerts on Your Client’s Holdings
  • Rating Changes
  • Critical Issuer Disclosures
  • Market Trade Activity
  • Generate Comprehensive Client-Ready Reports by Simply Entering the CUSIP
  • Provides Protection Pre-and “Time ofTrade” Simple Compliance Process

Benefits to Credit Research:

  • Timely Response to FA Research Requests: Limited Staff and Many Requests can Cause Responses to Take Days
    • DIVER Advisor Delivers Immediate Information
  • Assign Credit Metrics and Data by Sector Along with Relevant Issuer-Based Credit Notes
  • Drive Credit Research – Summary of FA Activity is Made Available in an Easy to Access Credit Administrator Panel
  • Provides Insights by Bond, Issuer, Sector and Geography

DIVER Advisor Interface View

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