ComplianceGuardian™, Policies and Procedures Management swiftly puts your firm’s policies and procedures in place and on solid ground.
Using ComplianceGuardian™ your firm can create required policies and procedures or code of ethics including attestations. Manual content is written and updated quarterly by NRS compliance experts to ensure that your firm meets current regulatory requirements. NRS’ Smart-Update technology protects your custom content by not allowing it to be overwritten.
NEW! Our update will include changes and new model content recommended for compliance with Regulation Best Interest (Reg BI) in advance of the June 30, 2020 effective date.
Getting started is easy. Answer questions developed by NRS compliance experts and watch as a policy and procedures manual tailored to your firm takes shape. The tool goes further, creating a customized compliance calendar and compliance task list that aligns with your firm’s policies and procedures. From there you can customize your own tasks, assign them to other users and have the system send automatic reminder emails.