Annual Compliance Questionnaires

Host, manage and track your representatives' annual compliance questionnaires.

Collect Better Data

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. Choose to build out custom questionnaires or utilize our pre-built Standard Forms to collect and analyze data regarding your representatives’ annual compliance activities. Digital attestations are additionally available throughout the system to verify that the information disclosed is both timely and accurate.

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Risk Flagging + Tracking

A “risk flag” can be assigned to any question in your annual compliance questionnaire to draw attention to a certain high risk response or behavior. Using our Questionnaire technology, you can easily see if/when a flagged response is provided so your team can take immediate action to rectify potential threats to the firm or your clients. The system then provides a section for you to work those flagged responses to ensure they were properly reviewed and escalated, if need be.

Disclosure Integration

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.  

Defensible Reporting

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 it also tracks the steps taken to work through and close out identified issues. Additionally, our system’s advanced filter options give you the power to view everything from firm-wide analytics to individual survey results with the added ability to export results to Excel and PDF.

Standard and Custom Options

Start with our pre-built questionnaire and tack on custom surveys.

Standard Forms

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 important information about your producers and representatives. Through the use of Smart Data, your staff benefits having to enter data to the system only once, giving them the option to either update or re-attest to that same questionnaire the following year.

Custom Surveys

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.

Additional Questionnaire Types

Rep Summary 

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.

Producer Summary 

The Producer Summary allows your producers to review, update and confirm stored personal identifying information, such as Carrier Appointments, Product Certifications, CE Requirements and State and 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. 

General Questionnaire 

This questionnaire type allows clients to build and launch their own firm-specific questionnaires. This service additionally 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-member employees to determine the training best suited for their needs based on their job function/background.

 

Firm Needs Analysis 

Our Firm Needs Analysis Survey performs an organization-wide assessment of the firm to determine the training priorities of its varying branch offices, departments and employees.

 

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