Investment Dealers Association (IDA) Investment Dealers Association Demonstrates Latest Investor Protection Tool for Complaint Reporting

• Case Studies
• Snapshots

Investment Dealers Association (IDA)

Challenge

• Wanted a way to collect and manage large volumes of cases submitted by member firms
• Needed to protect the confidentiality of members’ information

Solution

• Selected i-Sight Case Management Software for its flexibility and ease of use
• Member firms can access the system from any web browser over any type of Internet connection, including dialup
• Customized workflow rules ensure that information is automatically routed to the appropriate person
• Cases are fully documented from start to finish

Results

• Reduced regulatory burden
• Enhanced protection for investors
• Member firms save time in filing reports
• Advanced reporting tools help the IDA to identify risks and focus enforcement efforts
• Member firms can also use the system to zero in on problem areas and make improvements in management or supervision

"easy to implement and support, and most importantly it provides management with real time, actionable and reliable information."

Email this page Print this page

• Related Content