Policy Attestations

Create a centralized location for your representatives to review policies and access corporate documents.

PolicyLITE

PolicyLITE, our web-based policy management solution, allows your team to centrally host, view and manage all of its written supervisory procedures from one centralized location. Once a policy is created and approved, it can seamlessly be uploaded to the system for a no-hassle approach to keeping your representatives informed and up-to-date on the latest industry developments. Digital materials can additionally be updated, archived and searched for on-the-fly, and an attestation is available at the end of every document to systematically confirm end-to-end compliance.

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Systematic Controls

Whether you’re implementing old policies or introducing new ones, regulators expect you to have a structure or system in place to ensure your workforce is aware of and in-compliance with regulatory requirements. Using a data-driven approach, our system technology instills a sound framework for updating procedures and communicating those changes to the people most affected by them.

 

Digital Attestations

With our digital attestation technology, you’ll know exactly who certified to what policy and when so you’ll never have to worry about manual upkeep and record retention. Additionally, because the software is fully integrated with other services in the system, you can quickly navigate from a representative’s policy attestations to branch audit disclosures and more to see exactly when compliance incidents occur.

Resource Library

The Resource Library allows you to manage and control files that don’t necessarily require an attestation, but you would still like to be reviewed by your representative population. Within the library, you can organize content by category, such as HR, sales, or marketing, to keep everything appropriately indexed. It’s a great tool for the organization and distribution of vital corporate information.

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Firm Element Training

Deliver a Needs Analysis Survey and choose from over 450 Firm Element courses.

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Annual Compliance Meeting

Cut costs, improve productivity and accelerate learning with our online meeting technology.

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Disclosure Tracking

Track Outside Business Activities, Gifts, Entertainment, Political Contributions and more!

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