FINRA Compliance
Please provide us with the following information:
Improve FINRA compliance while reducing costs by 50% or more by:
- Managing both physical and electronic documents and forms in a single web based document repository using standardized procedures;
- Creating a process that enables personnel and compliance staff to document and track compliance with firm policies and procedures including acknowledgements and disclosures (e.g., gift reporting, outside business activities, charitable and political contributions)
- Cutting time spent by Registered Representatives in fulfilling their compliance obligations
Chief Compliance Officers and Compliance Personnel looking to reduce cost, increase compliance, and streamline compliance processes will benefit from ComplianceCare.
- Automating 50 documents and forms in a single web interface
- Store and organize key FINRA compliance documents in searchable electronic folders organized by Registered Representative name or CRD#
- Maintain Written Supervisory and Compliance Procedures, company policies, and company procedures in an organized library for ready access by Registered Representatives
To help you manage compliance documentation and FINRA requirements and remain compliant with rapidly changing FINRA rules and regulations, Securities Compliance Advisors, a leading firm specializing in compliance consulting to the financial services industry, has developed ComplianceCare on SpringCM’s document management platform.
By Registering you will receive access to a Solutions White Paper and a discount offer for ComplianceCare
ComplianceCare:
Document Control and Management
For FINRA Compliance
