Compliance obligations are easy to maintain with Annuity Warehouse’sSM Portfolio Compliance feature. With automatic alerts in the event of misaligned contracts, the Portfolio Compliance feature ensures active management of your clients’ accounts. The Portfolio Compliance feature includes:

• Calculation of account portfolio risk
• Storage of client risk tolerance
• Compliance officer administration of acceptable tolerance
• Notifications of compliance issues via reports and e-mails
• Comparison of risk tolerance at time of position change or execution of asset reallocation