Overview
ComplianceMAX Financial provides powerful technology products and solutions. Our technologies are designed by compliance professionals and built on the most advanced technologies in the market today. We have designed these technologies in a modular fashion, so they can work independently or as part of a comprehensive compliance solution. By leveraging technology in your compliance programs, your firm will realize gains in operational efficiency, oversight and employee satisfaction. Our products are built with your firm in mind, and our goal is to ease your compliance burden while improving your supervisory oversight.
The ComplianceMAX Portal
The foundation of the ComplianceMAX technology platform is the ComplianceMAX Portal. Through this web-interface, your managers, compliance personnel and associated persons can perform all of their regulatory activities. This portal is the framework for delivering your compliance program and it is designed to streamline your business. The major features of this system include:
- Single interface for all compliance forms
- Simple, user-friendly design
- Alerts and progress reports to keep your associated persons on track
- Permission-based hierarchical user model matches your firm's supervisory structure
- Ability to private label with your firm's colors and graphics
|
 |
Products List
Learn more about our products by selecting from the list below:
On-Site Audit Technologies
On-Line Audit Technologies
Rule 3012: Broker-Dealer Gap Analysis Workbook
Rule 206(4)-7: Investment Adviser Self-Audit
Firm Element Training
Forms & Disclosures
Manuals
Written Supervisory Procedures
Business Continuity Plan
Resources™
for Broker-Dealers
for Investment Advisers
ResourcesPLUS™
for Broker-Dealers
for Investment Advisers
SBC Resources™
Email Management |
