Policy Architect Module
Automatically update you policy manuals with the most current regulations.
NRS ComplianceGuardian Policy Architect Module allows existing or previously drafted policies and procedures manuals to be updated to reflect the most current regulations. Once inserted into the Policy Architect Module and updated, the manuals can be automatically pushed to required and permissioned individuals and/or groups. Policy Architect can house all of your manuals and provide a distribution vehicle to all employees, obtain attestations and maintain an audit trail for recordkeeping.
Key features and benefits:
The Policy Architect Module can ease the task of updating and maintaining policy and procedure manuals to protect your firm from regulatory risk and undue costs by helping you:
- Save time and money by using the NRS Quarterly Updates to maintain your existing manual. By adding your manual to the ComplianceGuardian platform, you can integrate current and timely NRS compliance language to create an updated manual to comply with necessary regulatory changes.
- Create efficiency with version control, which provides a date and time stamp to each new version of your manual; fulfilling recordkeeping requirements and providing disaster recovery capability for your compliance manuals.
- Control which tools and manuals are accessed by whom using the Permission features of ComplianceGuardian.
- Easily create and release a custom attestation for individuals and use the system reports to track those that are submitted. Streamline the process of obtaining and reporting on acknowledgements from every employee with a customizable, integrated, email tool that notifies users of manual changes and attestation requirements.
- Use one sign-on to view multiple firm manuals (personnel, compliance, trading, etc.)
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For more information on the ComplianceGuardian Policy Architect Module or any of our solutions to help you meet your compliance needs, contact us today.