If you’re regulated by the SEC and or FINRA, compliance keeps your doors open while the burden of being in compliance drags at the bottom line. ComplianceGuardian™ combines best-in-class compliance software, latest expert content, education and consulting to efficiently keep your firm in compliance today and as regulations change.
The robust ComplianceGuardian™ software platform was developed under the guidance of, and is continually maintained by, our deeply experienced compliance professionals. With direct experience in the private sector and regulatory bodies they bridge the divide between your business needs and regulatory requirements and help firms like yours remain in compliance while minimizing undue burden on business processes. These same experts are available to support you, so you never have to work completely on your own — unless you want to.
Firms of all sizes choose ComplianceGuardian™ to cover their compliance fundamentals, including:
- Model Policy and Procedures and Written Supervisory Policies and Procedures (WSP),
- Quarterly updates on changing policy requirements and industry guidance,
- Model Documents Library,
- Expert Guides and Checklists,
- Annual Review Management Tool,
- Attestation Management and Archiving, and
- Compliance Calendar and Monthly Compliance Program Workbooks.
Expand the functionality with these add-on supervisory solutions:
- Monthly Compliance Program,
- Form ADV Part 2A & 2B,
- DOL Policies and Procedures, and
- Registration and Licensing (RepTracker), OBA.
Our expert NRS compliance team provides swift and custom on boarding services based on compliance best-practices.