Stay Connected with our Interactive Discussion Board
Does your current annual compliance meeting offer a way for your registered representatives to pose questions to compliance? This seemingly small task is actually a FINRA requirement, meaning that even ACMs that are hosted online must offer a questioning system that easily connects representatives to the firm’s compliance department. To comply with FINRA’s requirement, our on-demand ACM solution easily tracks attendance and comes complete with an interactive discussion board that can be accessed at any time throughout the meeting.
Complete on Your Own Time
As live annual compliance meetings are time consuming and sometimes difficult to attend, on-demand online meetings are becoming the go-to solution. With an online ACM, you can complete your annual requirement at any time and with any device. If questions arise throughout the meeting, the interactive discussion board is available for users to promptly ask questions to their compliance department. The discussion board is open to all registered representatives in the firm who have been assigned the ACM, making it easy for colleagues to post questions that can be answered by their peers as well as their compliance department.
Getting the Information Up Front
Compliance officers have a lot on their plate, that’s why our online discussion board is interactive and easy to manage. Prompted by an email, the CCO is alerted when a question has been posted so they can seamlessly login to the system to view the post and respond as needed. The email will state that a new discussion board post has been submitted and will include the following details: the date, time, course title, person’s name who submitted the post and the question itself. The supervisor has all the information they need even before logging in to the system.
Managing the Discussion Board
Aside from being notified when a question has been posted, the supervisor has the ability to engage with their representatives through their discussion board posts and delete any questions or responses that may be incorrect or outdated. The supervisor is also able to add additional comments and forward appropriate resources in response to certain questions. Additionally, all discussions are time stamped and dated for record retention and they can also be exported to CSV or PDF formats for reporting purposes.
For more information about our ACM discussion board or to see a demo of Quest CE’s compliance management system, please contact a Quest CE Sales Executive at 877-593-3366 or email email@example.com.