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 continues to increase its examination efforts. Using our compliance management system (CMS), we equip you with the technology, support, and training your firm needs to be successful. Our cost-effective courses enhance your advisors’ ability to provide investment advice to clients, ultimately protecting the client, advisor and firm. In addition, we provide WORM storage for your firm’s record retention needs and 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

Having the ability to customize training materials that fit your firm’s policies and procedures is quickly becoming more of a need than a recommendation. This is why we created Course Builder, our course-authoring tool that allows you to create interactive and effective training materials on your own time, and on your own budget. This tool gives you the ability to revise your current materials, copy and edit our off-the-shelf courses or create new materials from scratch. Not only is this tool available with every program, but it comes at no additional cost for 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

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

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Schedule a Demo

Want an inside look of our system? Schedule a demo with a dedicated representative today!

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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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Compliance Questionnaires 

Collect annual attestations of your advisors’ Form ADV responses.

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Policy Attestations

Electronically host all internal policies and corporate documents.

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Conflict of Interest Tracking 

Track Outside Business Activities, Gifts, Entertainment and more…

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Compliance Review Tool

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

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Speak to an Expert

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