| The ComplianceMAX system offers a number of regulatory procedures to help your regulatory staff and employees address regulatory procedures. We take the guesswork out of interpretation and implementation of regulation by providing enhanced and specialized procedures that can be used "as-is" or customized for your needs.
Our Policies & Procedures will get you started
The ComplianceMAX system offers a number of regulatory procedures to help your regulatory staff, Reps, and employees understand and address regulatory requirements. It's designed to accommodate pertinent components of NASD and SEC regulations, such as NASD Conduct Rule 3010, which requires firms to implement a comprehensive supervisory system. We take the guesswork out of interpretation and implementation of regulations, by providing enhanced and specialized procedures that can be used "as-is" or customized for your needs.
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Create your own Policies & Procedures
Our policies and procedures are web-based, and may be customized for your firm's specific needs without any additional programming. Once you have customized your policies and procedures, any employee or Rep can access them through the web.
Modify your Policies & Procedures
If a policy or procedure changes, simply update the site and changes will automatically be published throughout your company.
Use our model policies and procedures as the foundation for your internal regulatory strategy.
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