Policies and Procedures Management
Designed by industry experts, tailored to your individual requirements, and operating on the infrastructure of a world-leading provider of information solutions.
Keeping up-to-date on regulatory changes and making sure that Written Supervisory Policies and Procedures and a Code of Ethics manuals stay current can be a difficult and time consuming task.
The NRS Solution
The Policies and Procedures Management solution includes everything you need to be confident that you are meeting current regulatory requirements.
Benefits and Features
Policies and Procedure Management includes:
Written Policies and Procedures Manuals
Create a required Written Supervisory Policies and Procedures or a Code of Ethics including attestations for your firm with ComplianceGuardian’s online manuals. The manual content is written and updated at least quarterly by NRS consultants to ensure that your firm meets current regulatory requirements. NRS’s Smart Update technology protects your custom content by not allowing it to be overwritten unless you make that decision.
Compliance Calendar and Task List
By completing a simple questionnaire, not only do the policies and procedures begin to be tailored for the firm, but the tool creates a customized compliance calendar and compliance task list that is synchronized with the firm’s policies and procedures. NRS Consultants have provided guidance on what each task should entail for review purposes and the firm has the ability to add their own specific tasks. Assign the tasks to other users and have the system send automatic emails and reminder emails.
Use this library of customizable forms and documents including personal securities trading forms, privacy statements, a business continuity plan, employee forms, model client agreements and communication templates. Also included is a state-by-state solicitor guide.
Compliance News and Research Center
Stay up to date and informed regarding regulatory changes, new requirements and more by easily accessing regulatory news, alerts, compliance calendars, guides and checklists.