Policies and Procedures Management


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.

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.

Start off in Compliance, Stay in Compliance

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Start off in Compliance: The Model Documents Library contains customizable forms that are essential for a firm’s compliance including personal securities trading forms, privacy statements, a business continuity plan, employee forms, model client agreements and communication templates. It also includes a state-by-state solicitor guide.

Stay in Compliance: In addition to quarterly updates published to the software by NRS experts, ComplianceGuardianTM users have access to the latest information on regulatory changes, new requirements and more through the Compliance News and Research Center.