For retail broker-dealers with 10 to 500 reps
Every client check logged, forwarded on time, reviewed, and ready for an exam.
Replace the paper checks received and forwarded blotter. Reps log checks from their phones. Principals review in minutes. Compliance sees every branch and exports the blotter for an exam in one click.
You try it with fictional sample checks first. No real client data until your firm says so.
The problem with the paper blotter
Missed deadlines hide
Most checks must go out by noon the next business day. A paper log doesn't warn anyone, and nobody knows until the branch inspection.
Review happens weeks later
Principals initial blotters long after the fact. A check made out to a rep can sit unnoticed.
Exams ask for proof
Examiners want to see each check was forwarded promptly. A blotter without times, tracking numbers and sign-offs doesn't show it.
How it works
1. Photograph it
Front and back, from any phone. Scanners work too.
2. We read it
Amount, check number, date, payer, payee and bank fill in. The rep confirms every field.
3. Forward it
Record where it went, how, and the tracking number. A countdown shows the deadline.
4. Principal signs off
A review queue with problems first. Approve, comment, or send it back.
Problems flagged the moment they happen
Each one goes to the right principal. High-severity ones need a written note before they close.
- Made out to the rep, the broker-dealer or a branch
- Payee not on your allowed list
- Forwarding deadline close or missed
- Logged but never forwarded
- Forwarded but never confirmed received
- Possible duplicate
- Missing front or back image
- Money on the clearing report with no blotter entry
Nothing is ever deleted
Edits become new versions with who, when and why. The database refuses changes to past records, and the audit log is hash-chained.
Deadlines in branch time
Noon the next business day in each branch's own time zone, skipping weekends and market holidays. Your rules are configurable.
Exam package in one click
The blotter as PDF and CSV, every image, each record's history and the audit trail, with a time-limited read-only link for examiners.
Try it with sample checks first
$10 per rep per month, $150 minimum. Beta firms get the first 12 months free. Your compliance team can test everything before any real data goes in.
Request beta access