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| Frequently Asked Questions |
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| What is Compliance Manager? |
| The Financial Visions Compliance Manager is a web-based application that allows compliance officers to review and control the content representatives publish on their websites. |
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| How Do I Access Compliance Manager? |
Compliance Manager is available at: www.advicenter.com/dbmanager
When you access this site, you will be asked for a username and password to log on. If you are a new user, we will contact you to establish a username and password. For any questions or access problems please contact Customer Service (support@financialvisions.com), or call 1-800 593-9228.
Compliance Manager has three components:
- Compliance
- DB Manager
- Set Defaults
Once you have logged on, each of the components is available via the pull-down menu at the top of the screen. Each component is explained below.
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| What Is The “Compliance” Selection? |
Our primary compliance contact at your firm will receive an e-mail notification that one of your advisors has a new site and/or has pending modifications for review. If the site is already live, the email will include a link to Compliance Manager, and explain the changes. If it is a new site, Compliance Manager is not yet engaged and the site will need to be reviewed at its temporary address.
On the left side of the screen is a list of onlythose advisors in your database that have pending changes. If you click on the folder next to the advisor’s name, the pending changes will show on the right side of the screen.
Each customizable field that requires compliance review and has been modified by the advisor will display sequentially in this way (HTML code will also be visible):
- Existing Text
- New Requested Text
- Accept, Reject or Postpone Changes
To view the pending text as it will appear on the live site (i.e., without visible HTML code), click on the "Preview Advisors Site" link.
- By selecting "Accept", you approve and automatically publish the pending changes on the advisor web site.
- Use "Postpone" if you want the advisor to revise text. Enter comments in the Compliance Notes field. These will accompany the notification email to the advisor. Postponed changes will remain in Compliance Manager for your approval once your requested adjustments have been made.
- Use "Reject" only if you wish to have the entire text removed or redone, as this deletes ALL proposed text.
The requested text field is editable, if the change is one you can fix yourself. Edit the field and then click accept. After all changes have been made, hit the “Submit Changes” button at the bottom of the screen. The advisor will receive an email notifying them of your approvals and changes.
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| What Is The DBManager Selection? |
On the left side of the screen, the DB Manager contains a folder on each of your advisors in our customer database. Use this tool to view advisor information or if you wish to restrict the content used by a given advisor.
To view information on an advisor, click on the appropriate folder. You can sort your advisors by using the sort function at the top of the screen.
Once you have selected an advisor, you can restrict content by using the License Level Indicator. The default is “NA” (Not Applicable), however if you want to restrict any content by license level, you can set the license level here for each advisor in their individual folder. The license-level restrictions are customized in the “Set Defaults” section. Most compliance officers simply leave this set to “NA”.
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| What is the “Set Defaults” Selection? |
The default program allows you to define the “universe” of content that will be available to your reps. It also allows you to set the default disclaimer text for new advisors that are added into the system.
The left-hand menu contains links to the pages that can appear on your reps sites. In most cases, the representative will determine this content, but you may want to pre-populate a disclaimer page, pre-populate certain free form pages, set certain content rights by license level, or disallow certain financial calculators or content.
Please be aware that reps may inadvertently attempt to overwrite this information. You can reject such a change, or discuss it with the representative.
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| What if I forget my password? |
FV stores your authentication information and compliance email address. If you forget this information or wish to make changes, send email to support@financialvisions.com. We may need to speak with you live and ask some questions to confirm your identity.
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| How Are New Representatives Added? |
- When an advisor signs up for a Financial Visions website, they are asked for their broker/dealer affiliation.
- Financial Visions sends the advisor an email with a temporary site address and access to the Site Manager tool to build their site. A copy of the email is sent to the compliance email address on file.
- The Advisor builds their website, selecting and adding content. At this point, the site is NOT live.
- The Advisor sends email to you containing a temporary site address and proposed content for review. Once you have reviewed the temporary site and the advisor has made any required revisions, you will need to notify us via email that it is ok to go 'live'. It is helpful to send the advisor a copy of this message.
- We activate the advisor site and add the advisor site to Compliance Manager, allowing you to manage any future revisions.
- As the advisor updates their site, they will click an “Email Compliance” button to notify you that approval is needed. You will log into Compliance Manager and approve/postpone/reject changes as discussed above. Aside from the email notifications, visiting Compliance Manager on a regular basis is a good way to keep track of your advisor websites and any pending changes.
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