Annual Compliance Questionnaires
Host, manage and track your representatives’ annual compliance questionnaires.
Collect Better Data
Your ACQ should be so much more then a database for warehousing information.
Build Reliable Compliance Questionnaires
Our annual compliance questionnaires allow your firm to quickly identify gaps in data and remediate issues in real-time through an integrated system of checks and balances. Choose to build out custom questionnaires or utilize our pre-built Standard Forms to collect and analyze data regarding your representatives’ annual compliance activities.
Risk Flagging + Tracking
A “risk flag” can be assigned to any response in your questionnaire requiring immediate follow-up. The system then provides a section for you to work those flagged responses to ensure they were properly reviewed.
Automatically pull your users’ active disclosures into your ACQ for them to personally review. This actionable survey ensures that disclosures are up-to-date, while also eliminating duplicate work.
When potential risks are detected, you need a reliable system to back up your findings. Our dynamic reporting dashboard not only tracks flagged responses, but also the steps taken to close out any identified issues.
Using Standard Forms vs. Custom Surveys
Our Standard Forms mimic FINRA’s Form U4 to create a uniform process for collecting, organizing and validating important information about your users. Your staff also benefits from the option of either updating or re-attesting to that same information the following year. Meanwhile, our custom surveys are a great option if you want to build your own questionnaire from scratch. Survey answers can be set-up to flag suspicious responses, automatically prompting an email to your compliance department.
Additional Questionnaire Types
The Rep Summary allows your representatives to review, update and confirm their stored personal identifying information, such as employment history, residential history and jurisdictions registrations.
The Producer Summary allows your producers to review, update and confirm stored personal identifying information, such as carrier appointments, product certifications, and state/designation licenses.
Social Media Questionnaire
Gather a census of your registered member’s social media accounts, both for business and personal use, affirming to FINRA that you are monitoring social media compliance to the best of your abilities.
This questionnaire type allows clients to build and launch their own firm-specific questionnaires. This service also has its own reporting section to keep data separate from other survey types.
Individual Needs Analysis
Our Individual Needs Analysis Survey solicits information from individual firm-members to determine the training best suited for their needs based on their job function/background.
Firm Needs Analysis
Our Firm Needs Analysis Survey conducts an organization-wide assessment to determine the training priorities of its varying branch offices, departments and employees.
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