From Form ADV to Form PF, regulatory filings are a recurring requirement which often drain time and resources. While a necessary component of any compliance program, the process of gathering the necessary information, reporting, and filing is a burdensome one. The good news? We can help.
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.
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.
“Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.” – David Becker, CFIP
“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Your Policies and Procedures are the backbone of your compliance program. They must be unique to your firm’s business activities. Understood and followed firm wide. And enforced by your team. We can help.
Download The Benefits of Direct Brokerage Feeds to discover how 300+ direct broker feeds can aid your compliance team in their efforts to build an effective, accurate program.
