Annual Compliance Meetings

Cut costs and improve productivity by taking your annual compliance meeting online.

Increase Efficiency

Alleviate the costs and resources associated with hosting a live event. Our on-demand training solution is designed to facilitate employee learning, no matter where they are, from any device. Simply send a pre-recorded annual compliance meeting to your entire representative population and have them watch, review and attest to the training materials on their own time. You can then login to the system to track attendance and view training completions using the reporting dashboard.

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Online Environment 

In accordance with FINRA Rule 3110(a)(7) and Rule 206(4)-7 under the Advisers Act, all of our annual compliance meetings feature an interactive discussion board, time-stamped attendance tracking, unique login credentials and a digital attestation at the end of every meeting. This functionality ensures that, among other safeguards, each representative is actively engaged and able to ask questions that relate directly to their understanding of course materials.

Studio Recorded Audio

Anyone who has sat through an online ACM with artificially-generated voice technology knows the difference having live, studio-recorded audio makes. By taking the time to record, edit and produce each of our online training modules, we remove the monotone and inconsistent delivery of even the best text-to-speech software to provide firms with a more engaged learning experience.

Complete Customization

Our modules combine rich content with on-demand webcast technology, to deliver a learning experience that benefits everyone at your firm. Featuring the industry’s largest selection of annual compliance meeting modules, you can utilize pre-built meetings, mix and match individual modules or create a custom presentation based on preexisting materials. Imagine the possibilities of creating an online version of your live meeting – complete with custom imagery, video, and audio.

Compliance Meeting: Options

Choose from one of our three compliance meeting delivery formats.

Pre-Built Meetings

Pick from one of our off-the-shelf annual compliance meetings. Each pre-built focuses on a key subject area, such as communications or FINRA hot topics, and includes specific exercises developed by us to build skills as well as knowledge.

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Mix & Match Modules

Select up to four modules from any of the following mix and match lists to create your own tailored compliance meeting. With more than 50 mini modules to choose from, you can easily find topics that best fit your firm’s training needs. 

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Customized to You

If off-the-shelf modules don’t satisfy your needs, then you may benefit from a custom-built compliance meeting. With this option, you can simply send us a word document or powerpoint presentation and we’ll build it into our system. 

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Complete Your Program

Firm Element Training

Deliver your Needs Analysis Survey and choose from over 450 courses.

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Compliance Questionnaires

Collect and analyze data regarding your representatives’ annual activities.

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Conflict of Interest Tracking

Individually track Outside Business Activities, Gifts and Entertainment!

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Speak to an Expert

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