Policy Attestations

Host your firm's corporate documents and monitor attestations under one roof.


PolicyLITE, our web-based policy attestation solution, allows your team to host and review all of its compliance documents from one centralized location. Once a policy is created and approved, it can be seamlessly uploaded to the system for a hassle-free approach to keeping your representatives informed and up-to-date on the latest industry developments. Additionally, each document is accompanied by an attestation to systematically ensure that representatives are in compliance with firm policies.

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Step 1: Upload

Regulators expect you to have a structure or system in place to ensure your workforce is aware of and in-compliance with regulatory requirements. By uploading your corporate-branded documents and acknowledgements into our system, you can quickly communicate important internal updates and regulatory changes across your firm.


Step 2: Attest

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. Additionally, our fully integrated software makes it easy for you to quickly navigate from attested documents to questionnaires or disclosures 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.


Annual Compliance Meeting

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


Disclosure Tracking

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


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