Investment Advisor Compliance

Offer robust training and educational opportunities to help your advisors succeed.

Inform and Engage

In today’s rapidly changing industry, the need for your investment advisors to stay current with rules and regulation is paramount. This is especially true as the SEC vamps up its examination efforts. Using our subscription-based compliance management system, we equip you with the technology, support, and training to be successful. Our cost-effective courses enhance your advisers’ ability to provide investment advice to clients, protecting the client, advisor and firm. We also offer a variety of disclosure tracking and policy management solutions to round out your one-stop compliance program.

Course Catalog

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Custom Content

In addition to purchasing our investment advisor training catalog, we have the option to convert your traditional training materials to our online system or give you the tools to edit your content directly using our course authoring software. It’s easy – just send us hard copies of your training and we’ll produce interactive, interesting and effective e-learning materials. We promise to have your custom courses delivered on time and on budget.

NEW! Like our off-she-shelf content but wish it was more tailored to your firm’s internal policies and procedures? No Problem! Using our course authoring tool, Course Builder, you now have the ability to customize any of our training courses, at no additional cost to your firm.

Open Architecture

We strive to create technology that fits different business and industry needs, without having to rely on a “one size fits all” approach. Utilize our annual compliance questionnaire technology to collect your advisors’ annual Form ADV attestations or build and upload your own policies and procedures to reflect your firm’s trading practices, business continuity plans and portfolio management processes.

Centralized Supervision

Say goodbye to disparate data and having multiple windows open at one time. A single connected interface means you sign in once and have complete, centralized control of your entire compliance program. That way, there is only one place a user has to go to find their training, policies and procedures and disclosure documents.

Getting Started

Investment Advisor Express

Set-up a program in 30 minutes, for as little as $45 per subscription. Ideal for boutique-size firms.

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Managed Programs

Launch a custom training program and benefit from the experience of an Account Executive.

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Bundled Services

Choose from one or many of the below service options.

Investment Advisor Training

Get complete access to our Investment Advisor training catalog.

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AML Training 

Keep your advisors up-to-date on Anti-Money Laundering Red Flags.

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Annual Compliance Questionnaire 

Collect annual attestations of your advisors’ Form ADV responses.

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Policy Management

Electronically host all internal policies and corporate documents.

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Disclosure Tracking 

Track Outside Business Activities, Gifts, Entertainment and more…

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Annual Compliance Review

Cut costs and improve productivity with our on-demand technology.

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Speak to an Expert

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