Disclosures and Attestations

With NRS Disclosure and Attestations solution, firms can confidently manage, track and report disclosures and attestations from their registered representatives. Centralizing compliance activities through the solution reduces risk and simplifies compliance processes for management and registered representatives.

The ComplianceMAX Disclosures and Attestations solution delivers a streamlined and verifiable submission process that eases the burden of disclosures and attestations for you and your registered representatives automating, consolidating and centralizing:

  • Personal Investment Accounts: Keep a concise record of accounts for your registered representatives using the solution to obtain, organize and archive data.
  • Private Securities Transactions: Efficient submission of all material information surrounding the registered representative’s private securities transactions.
  • Annual Compliance Questionnaire: Choose a standard or customizable questionnaire and use the solutions workflow configuration capabilities to ensure it gets to the appropriate registered representatives. The reporting features of the solution monitor and track completion in accordance with predetermined due dates. The solution generates “flags” for areas of concern or compliance violations, then creates a systematic process for following-up and resolving any “task” created.
  • Annual Attestation: Use the standard NRS Broker-Dealer Annual Attestation or incorporate a custom Attestation from your firm for efficient distribution, tracking and management of the annual process. The solution enables swift action to resolve instances where registered representatives do not attest to, or fully understand, specific areas of your firm’s written supervisory procedures and FIRM Specific Disclosures and Attestations.