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Quest Audit Trail from Quest Compliance
An audit trail system designed for financial advisors to document client interactions, recommendations, and compliance activities. Features include automated logging of advisory actions, suitability documentation, record retention, supervisory review workflows, and reporting capabilities for FINRA and SEC requirements.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Data Capture & Recordkeeping
(7 Yes /7 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Explicitly logs all client/advisor interactions as claimed in website and marketing materials. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Notes and product details specify automated timestamping for every action and entry. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Enables upload of supporting documents for audit and compliance as stated in product literature. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Advisor notes field supports edits and version history as described in demo materials. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Maintains a comprehensive change log/version history for regulatory audits. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Claims to use an immutable audit log to prevent tampering, supporting audit integrity. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk import/export is present to support onboarding or offboarding per website feature list. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
Search, Retrieval & Reporting
(6 Yes /6 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search features and filters described for compliance and investigator users. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable reporting mentioned for compliance reviews and audits in website and datasheets. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit timeline visualization shown in demo screenshots and feature descriptions. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Saved/scheduled reports are specifically noted as supported for recurring compliance functions. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based access specified as a standard security feature for audit trail review. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Supports bulk data extraction for regulatory audits as indicated by product overview. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
No information available | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
No information available |
Security & Access Control
(7 Yes /7 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
Multi-factor authentication, secure login mentioned under security features. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Customizable role-centric permissions for user groups outlined in admin docs and web pages. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest confirmed in security and IT integration section. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Transport layer encryption (TLS/SSL) detailed in product materials. | |
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Audit Log of Access Fully logs which users access which records and when. |
Audit log records all access with timestamps and user info, per compliance documentation. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout is a default setting in most regulated SaaS and specifically referenced. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Password controls and change frequency linked to firm policy; described in admin guide. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(9 Yes /9 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Compliance templates for FINRA/SEC mentioned as standard and customizable. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom policy triggers and audit alerts can be defined (per configuration documentation). | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Audit readiness dashboard included for compliance tracking; referenced in marketing materials. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
System updates process and regulatory monitoring detailed in vendor support descriptions. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated exception/compliance alerts confirmed as a workflow feature. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom compliance report-builder described for varied regulatory requirements. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature support outlined for client communications and documentation. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Central policy and forms repository for regulatory documents mentioned. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated retention policies available for record lifecycle management. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(5 Yes /5 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
Product API for programmatic access is referenced for integrations. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Integrates with CRMs and third-party wealth management systems per the product website. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Captures advisor-client communication including email, as described in features. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integration with e-signature and document vault solutions mentioned in documentation. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
No information available | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
No information available | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
No information available | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration support referenced for proprietary in-house systems. |
Scalability & Performance
(4 Yes /4 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Failover/disaster recovery is outlined as part of compliance and reliability. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
No information available | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Both on-premises and cloud deployments described in marketing and implementation materials. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Storage expands as records increase (cloud-based), supporting scalable storage. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
Product provides alerts for system issues and degradation according to support documentation. |
User Experience & Interface
(4 Yes /4 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Main dashboard provides an intuitive compliance-focused interface. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
User-customizable dashboard and views indicated in the product FAQ. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
No information available | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web application is responsive for advisors in the field, per user testimonials. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
In-app help, tooltips, and definitions highlighted in user reference guide. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
No information available | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
No information available |
Notifications, Alerts & Workflow Automation
(6 Yes /6 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert triggers can be defined for compliance and workflow needs per user manual. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
System supports assigning tasks based on record events (workflow automation section). | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
No information available | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
No information available | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Visual workflow builder for compliance and audit routing mentioned in demo and datasheet. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Template-based workflows available for standard supervisory review and compliance. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Supports multi-level approval routing for audit and compliance sign-off. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time status change alerts/notifications available as part of compliance workflow. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(6 Yes /6 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic lockdown for ongoing investigation records mentioned in compliance documentation. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Automated anomaly detection is supported for identifying out-of-pattern advisor activity. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Timed activity reconstruction feature shown as timeline for each client/user. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Provides redaction tools for data exports and audit report delivery. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Investigation case management listed as a function for compliance and audit users. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Evidence linking via document attachment for audit investigations in feature list. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
No information available | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
Customization & Extensibility
(4 Yes /4 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Organizational custom fields supported as outlined in customization capabilities. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Form and template builder feature included for custom entry requirements. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Supports custom scripts/automations triggered by audit events. | |
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Custom Branding Upload logos, firm colors, and themes. |
No information available | |
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Localization Support Adapt layouts and content for global offices. |
No information available | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
Custom user role management beyond defaults supported per admin docs. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
No information available |
Support, Training & Vendor Reliability
(5 Yes /5 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
No information available | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Provides onboarding assistance via guided implementation as referenced in support pages. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base and FAQ available on support/website. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live web-based training is scheduled for new clients and periodically, per vendor. | |
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Certification Programs Official user or admin certification offered. |
No information available | |
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Multi-Language Support Support and help materials available in multiple languages. |
No information available | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Publishes release notes and product roadmap per client portal. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Has a protocol for proactive outage/downtime communication per support documentation. | |
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Customer Success Manager Dedicated success representative for large accounts. |
No information available | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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