Host, manage and track your representatives' annual compliance questionnaires.
Create custom surveys or utilize pre-built Standard Forms to collect and analyze data regarding your representatives’ annual compliance activities. More than just a database for warehousing information, 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. Digital attestations are additionally available throughout the system to verify that the information disclosed is both timely and accurate.
We give you the option to get everything you need and everything you want.
Host all of your FINRA required information in one system, through the use of Standard Forms. Simply put, Standard Forms mimic FINRA’s U4 Form to create a uniform process for collecting, organizing and validating examination requests, professional designation associations, residential history and employment history and more. Through the use of Smart Data, this information automatically updates across the entire system, eliminating the need for duplicate data-entry.
Want to create your own custom surveys to work in tandem with our Standard Forms? Not a problem. Quickly build, edit and assign online surveys using our intuitive web-based tool, Questionnaire Builder. With over a dozen question types to choose from, we make it easy to gather and verify your own firm-specific information. Survey answers can be set-up to flag suspicious activities, automatically prompting an email to your compliance department.
Take your annual compliance questionnaires to the next level by integrating with our disclosure tracking system to create dynamic surveys based on live system data. Watch in real-time as the system automatically pulls your representatives’ annual disclosures into a custom ACQ for each of your representatives to personally review and attest to. This actionable survey ensures that data is accurate, integrated and consistent across the system, while also eliminating duplicate work.
Our philosophy is that the data you collect is your data. That’s why we built a reporting dashboard that gives you the power to view everything from firm-wide analytics to individual survey responses. You also have the option to filter responses based on different criteria, allowing you to seamlessly compare and analyze data segments to FINRA’s Web CRD. Our survey software lets you export reports into Excel or PDF.
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