Compliance Reports

Compliance reports are an exciting new feature that provides access to your data for your comprehensive auditing and research needs. These reports are at the firm level, so they will include data for all advisors and contacts within your firm. 

Currently, we support three areas of reporting, with more to come:

  • Chat messages with your clients
  • Documents in your clients' vaults
  • Client notes taken on the contact records

Generate a Report

Firm admins can generate these reports by going to the Admin tab > Firm Vault. Click Generate Compliance Report, then select a Date Range and Data to Export. Once complete we will send you an email notification. 

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Accessing Reports

Once the reports have been generated, you can access your reports by opening the Compliance Reports folder in your firm vault. Click on the report title to download the CSV to your browser. You can then open the CSV in Excel, Google Sheets or any other text viewer. 

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Report Content

Chat Message History 

Provides a complete list of all in-app chat messages with your clients. Anytime a chat has been sent or received by you and your client, that will be captured in the report. We will provide the time and date the message was created and sent, the message content, time and date of a read receipt if applicable, and your client's email and text notification preferences.

Please Note: We did not begin capturing read receipts until June 2020, so messages read before then will not have this data point. 

Contact Record Note History 

Provides data on the notes you and advisors in your firm have added to contact records. This includes the note contents, time and date the note was created, and who performed the action.

Client Vault Document History

Provides data on all documents that you and your clients have added to client vaults. We provide time and date of when the document was added, shared, unshared, viewed, downloaded, and deleted. For Docusign files we will also provide time and date of signature completion. In addition to the Client Vault Compliance Report, you will also be provided a zip file that contains all of these documents. 

 

 

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