ComplianceMAX SMB™
Small-to-medium firms face the same regulatory requirements as large firms, but without the benefits of their resources and economies of scale. They struggle with incompatible products from multiple vendors, conflicting advice and an inability to efficiently track and monitor compliance activities. The result is lost productivity, higher costs and increased regulatory exposure.
Designed with your business in mind, ComplianceMAX SMB™ provides your firm with all of the functionality of an enterprise compliance system without the cost or complexity.
ComplianceMAX SMB™ includes:
Monthly Compliance Modules
Each month, a designated person from your firm will 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. Throughout the system we provide useful hints, tips and regulatory background information to help guide you through the process. We capture your answers, comments and notes and your progress will be tracked as you complete your assignments.
Business Continuity Plan
Access to an on-line, customizable model Business Continuity Plan. We provide the base content and the framework of your plan, allowing you to focus your time and energies populating it with critical business information.
Model Forms & Documents Library
Access to an extensive library of model forms and compliance documents. Written by our Compliance Institute, these model forms may be downloaded and adapted for your own use.
ComplianceMAX SMB™ you have unlimited use of the on-line predefined forms, including:
Consolidate all of your registered rep 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 all through ComplianceMAX SMB™.
With ComplianceMAX SMB™ you have total control over your compliance program because you manage the system. Maintain your hierarchy of branches and users, and schedule compliance assignments with a few mouse clicks. Powerful reports keep you informed and compliance workflow queues allow you to "manage by exception."
Firm Element Training Library
Unlimited use of NRS Firm Element Training Library for your Registered Reps, plus custom courses can be written if needed.
The compliance training courses can be accessed online at anytime by your registered representatives. Their customized compliance portal alerts them to any new assignments and tracks their progress in real-time.
Managing and overseeing your training has never been easier. A powerful real-time reporting engine provides compliance managers with progress and status reports for each user. You will know in real-time which registered reps have started, finished or are overdue on their assignments.
Monthly News
Every month we will provide you with unlimited access to RegulatoryRegister.com. RegulatoryRegister.com is an online news source devoted to analyzing compliance issues and providing best practice guidance that assists you with keeping your firm in compliance. It is written for compliance experts by compliance experts.
Web seminars on regulatory initiatives
Add any of these CCO tools to this suite to make ComplianceMAX SMB™ a comprehensive compliance management system:
Small-to-medium firms face the same regulatory requirements as large firms, but without the benefits of their resources and economies of scale. They struggle with incompatible products from multiple vendors, conflicting advice and an inability to efficiently track and monitor compliance activities. The result is lost productivity, higher costs and increased regulatory exposure.
Designed with your business in mind, ComplianceMAX SMB™ provides your firm with all of the functionality of an enterprise compliance system without the cost or complexity.
ComplianceMAX SMB™ includes:
Monthly Compliance Modules
Each month, a designated person from your firm will 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. Throughout the system we provide useful hints, tips and regulatory background information to help guide you through the process. We capture your answers, comments and notes and your progress will be tracked as you complete your assignments.
Business Continuity Plan
Access to an on-line, customizable model Business Continuity Plan. We provide the base content and the framework of your plan, allowing you to focus your time and energies populating it with critical business information.
Model Forms & Documents Library
Access to an extensive library of model forms and compliance documents. Written by our Compliance Institute, these model forms may be downloaded and adapted for your own use.
ComplianceMAX SMB™ you have unlimited use of the on-line predefined forms, including:
Registered Rep and Firm Tools
- Annual Attestations
- Outside Business Activities
- Personal Investment Accounts
- Private Securities Transactions Annual Attestations
- Form BR
Consolidate all of your registered rep 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 all through ComplianceMAX SMB™.
With ComplianceMAX SMB™ you have total control over your compliance program because you manage the system. Maintain your hierarchy of branches and users, and schedule compliance assignments with a few mouse clicks. Powerful reports keep you informed and compliance workflow queues allow you to "manage by exception."
Firm Element Training Library
Unlimited use of NRS Firm Element Training Library for your Registered Reps, plus custom courses can be written if needed.
The compliance training courses can be accessed online at anytime by your registered representatives. Their customized compliance portal alerts them to any new assignments and tracks their progress in real-time.
Managing and overseeing your training has never been easier. A powerful real-time reporting engine provides compliance managers with progress and status reports for each user. You will know in real-time which registered reps have started, finished or are overdue on their assignments.
Monthly News
Every month we will provide you with unlimited access to RegulatoryRegister.com. RegulatoryRegister.com is an online news source devoted to analyzing compliance issues and providing best practice guidance that assists you with keeping your firm in compliance. It is written for compliance experts by compliance experts.
Web seminars on regulatory initiatives
Add any of these CCO tools to this suite to make ComplianceMAX SMB™ a comprehensive compliance management system:
- AML Independent Test
- Self Audit Rule 3012 Gap Analysis Workbook
- Detached Office (RR) Self Audit
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