Policies and Procedures Management

Create required Policies and Procedures or Code of Ethics using our Policies and Procedures Management solution. Getting started is easy. Complete a profile questionnaire about your firm to generate a Policy and Procedures manual tailored to your firm. The last step? Complete the customization of your manual and proceed with managing your program.

• Create and maintain policies based on COMPLY model language and regulatory updates
• Create a customized compliance calendar and compliance task list, which aligns with and is linked to your firm’s policies and procedures
• Create an archive of each version of the manual
• Deliver new manual versions to staff and collect attestations of their receipt

One of the first steps in your broker-dealer journey after registration? Creating your Written Supervisory Procedures. Leverage COMPLY’s technology-backed solution to automate the process and customize your WSPs to your unique needs and requirements.

• Create and maintain WSPs based on COMPLY model language and regulatory updates
• Create a customized compliance calendar and compliance task list, which aligns with and is linked to your firm’s WSPs
• Create an archive of each version of the procedures
• Deliver new manual versions to staff and collect attestations of their receipt