Compliance Review Packets
The Compliance Review Packets are PDF documents that contain all the necessary information for a complete review of our desktop software packages. This includes:
All NASD/FINRA letters for each software package
The script for and screenshots of the Multimedia Presentation "Understanding the Reality of Your Financial Future."
The script for and screenshots of the Multimedia Presentation "Understanding Asset Allocation Strategies" that is contained in the ClearPath and CMS Summit Edition software packages.
Screenshots of the software
Sample report output generated from each software package - which includes all disclaimers and explanations of data sources and analysis methods.
There are two Compliance Packets available for download - one for ClearPath Desktop and one for CMS. There is not a packet for the CEM software since the presentations found in CEM are included in ClearPath Desktop & CMS and as such, have already been reviewed.
Click the appropriate button below to download the desired Compliance Packet. Please note that all FINRA comments outlined in each packet have been implemented
Sample Report Outputs
clearPATH Online and our 2 legacy software packages, ClearPath Desktop & CASE Management System, all generate reports for the client. If you would like to review a sample set of reports for each piece of software, click the appropriate button below to download.
*Spending Goals & Income Sources, Risk Assessment, and Worst/Best/Latest Historical Rolling Period reports shown in the sample are currently not available in clearPATH Online but are coming soon.
Register or download any of our software packages for compliance review only. You will have access to the software for 30 days.
To access the software for review, please fill out the following form. Once the form is submitted, you will receive an email containing instructions on how to either register the software (clearPATH Online) or download and install the software (ClearPath Desktop, CMS, or CEM).
If you have any additional compliance requests, please fill out the form below to contact our compliance department. If necessary, someone will respond to your inquiry within 2-3 business days.