NRS
ComplianceEssentials™
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials™ many compliance requirements are met with one system. And, compliance officers can assign different tools to different users. For example, registered reps can have access to the Registered Rep manual, but not the Written Supervisory Policies and Procedures.
NRS ComplianceEssentials™ includes a sophisticated registered rep license tracking and CE tracking tool which is accessible to the rep. When a rep logs in they can see what CE is required and where they are licensed. They can also request an additional license and this request is then sent directly to the appropriate individual to act upon.
In addition, we have added a Compliance Calendar to alert you of upcoming regulatory deadlines. You can even add the deadlines directly to your MS Outlook™ Calendar and take advantage of those reminder functions.
This all in one solution to make complying with regulations easier includes such tools as:
NRS ComplianceEssentials™ is exactly what you are looking for!
Pricing starts at just $3,150 annually and includes updates whenever necessary. For more information or to view an online demonstration, please call NRS Sales at (860) 435-0200.
Add the NRS ComplianceEssentialsTM Email Monitoring and Archiving Tool to complete your compliance solution!
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials™ many compliance requirements are met with one system. And, compliance officers can assign different tools to different users. For example, registered reps can have access to the Registered Rep manual, but not the Written Supervisory Policies and Procedures.
NRS ComplianceEssentials™ includes a sophisticated registered rep license tracking and CE tracking tool which is accessible to the rep. When a rep logs in they can see what CE is required and where they are licensed. They can also request an additional license and this request is then sent directly to the appropriate individual to act upon.
In addition, we have added a Compliance Calendar to alert you of upcoming regulatory deadlines. You can even add the deadlines directly to your MS Outlook™ Calendar and take advantage of those reminder functions.
This all in one solution to make complying with regulations easier includes such tools as:
Looking for the all-in-one Compliance Tool for Broker Dealers?
- Firm Profiling tool to assist in the initial customization of the Written Supervisory Policies & Procedures.
- A Registered Rep Manual written from the reps point of view.
- A comprehensive Rep Tracker which organizes all Rep information in one place, and tracks CE and licenses. Reps can requests through this online system any licenses they may need and they are also alerted to any upcoming CE requirements.
- Model Documents such as a Business Continuity Plan accessible from anywhere at anytime.
- Guides including a Branch Office Audit Guide, and a Rule 3013 Template.
- An AML OFAC checking tool.
- NASD Notices to Members and access to a complete, fully searchable Regulatory Database.
- Compliance Alerts sent directly to you from NRS to notify you of any important regulatory changes.
- An integrated email tool so that you can manage internal Compliance Alerts and other pertinent communications.
- A Privacy Notice wizard to assist you in meeting the requirements of the Privacy Rule.
- Plain English, state-by-state registration requirements.
NRS ComplianceEssentials™ is exactly what you are looking for!
Pricing starts at just $3,150 annually and includes updates whenever necessary. For more information or to view an online demonstration, please call NRS Sales at (860) 435-0200.
Add the NRS ComplianceEssentialsTM Email Monitoring and Archiving Tool to complete your compliance solution!
© Copyright 2010. National Regulatory Services