Pre-defined compliance forms

Your supervisory responsibilities require that you gather, review and monitor the activities of your associated persons. Traditionally this is done through a labor intensive process that requires consuming amounts of paperwork. With the ComplianceMAX system, you can perform these activities through a series of on-line "intelligent" forms which include:

Outside Business Activities
Personal Investment Accounts
Private Securities Transactions
Annual Attestations

You can have the benefits of regulatory forms designed by regulatory experts. Alternatively, we can work with you to customize our forms to meet your specific needs.

Build your own forms
You can't avoid it, you must collect data from the field. However, you can avoid the paperwork. The ComplianceMAX system allows you to create your own "intelligent" web-based forms. Utilizing a powerful design tool, you can create forms, questionnaires, surveys and training units with the following features:

Unlimited content
Multiple question types
"Conditional" questions
Scoring & Red-Flags
Policies & Hints
Ability to upload & attach documents

Supervisor workflow
The system is built around a supervisory workflow and regulatory review process which consolidates all forms into work-queues. Your managers will maintain control throughout the process while realizing tremendous efficiencies. The ComplianceMAX system will provide immediate value by:

Eliminating costly paperwork
Streamlining your operational processes
Reducing the burden on your associated persons

Virtually eliminate paperwork
The ComplianceMAX system is an on-line system that employs a user-friendly web interface to publish, disseminate and collect data from your Reps or other associates, their supervisors, and compliance officers. With the ComplianceMAX system, you can eliminate messy and costly paper forms.

Enhance your firm's image—increase Rep satisfaction
Excessive paperwork can create tension and does little to improve your firm's image. The ComplianceMAX system can enhance your firm's reputation by showing your Reps and employees that you respect their time, and you are fulfilling these requirements in a progressive and efficient manner. We can even customize the ComplianceMAX system with your firm's own branding.

Powerful compliance oversight
The ComplianceMAX system is structured in a powerful relational database system with comprehensive reporting built-in. It offers virtually unlimited views of your regulatory data in real-time. Check the status of your firm training, view the results of a branch, audit or find out which Reps are conducting outside business, all with the click of a button.

Lower your compliance costs
The ComplianceMAX system can significantly lower your compliance costs and create tremendous efficiencies firm wide. Below are just a few of the reasons why the ComplianceMAX system can add to your firm's bottom-line:

Elimination of mailing costs
Streamlining the dissemination, completion, and collection of forms
Reducing the amount of paper that your firm must track and retain