Reduce costs, eliminate inefficiency and minimize potential risk
ComplianceMAX is an application composed of fully-integrated modules that brings convenience, confidence and cost savings to your compliance program. ComplianceMAX technology is relied on by over 110,000 users and is backed by the depth and breadth of NRS' compliance expertise.
No matter what the challenge, ComplianceMAX helps integrate compliance into your firm's overall business model and daily activities by providing the tools your firm needs to work smarter, faster and with lower costs. Gain valuable efficiencies every day as you to consolidate all of your registered representative data and compliance activities through a single web-based compliance workstation, manage your monthly compliance calendar, assign and track firm element training, manage annual disclosures and conduct audits.
ComplianceMAX Modules
Compliance Questionnaires and Attestations
Effectively manage the collection, analysis and reporting of Outside
Business Activities, Personal Investment Accounts, Private Securities
Transactions, Annual or Periodic Attestations and other information
required by the SEC and FINRA.
Public Communications and Advertising Review
Transform the intensively manual process of reviewing all
communications and advertising materials including electronic and
social networking sites into an automated process. Create complete
audit tails documenting each submission, change process and approval.
Gift and Entertainment Management
Manage the review process of Gifts and Gratuities, Business
Entertainment, Non-Cash Compensation and Political Contributions
adhering both to regulatory standards and internal policies.
Customer Complaints
Consolidate and manage complaints against broker-dealers or banks'
representatives in order to comply with regulatory requirements and
subsequently report compliant and disclosure information to FINRA.
Firm Element, Insurance Training and Annual Compliance Meetings
A complete catalog of Firm Element, Insurance CE training courses and
Annual Compliance Meeting courses that cover a broad range of
training topics.
Audit Technology
Provides a suite of sophisticated tools to give you maximum control
over the creation and design of your audits. You can build and deploy
intelligent audit templates, preconfigured with regulatory
guidelines, firm policies, custom questions and comments.
Monthly Compliance Modules
Log in to your own online compliance portal and receive your firm's
monthly compliance tasks and activities through a series of on-line
workbooks. The modules address monthly recurring activities, in
addition to quarterly and annual activities.
Custom Modules
Need a module that replicates your firm's specific business
processes, rules or compliance requirements? ComplianceMAX technology
can be fully customized. Work with our team of developers to create a
custom module for your firm.