Written Supervisory Procedures

Written Policies and Procedures are the foundation of your firm's compliance program.

The ComplianceMAX system provides model procedures through a fully customizable web-based template. Each chapter can be edited and published on-line with the click of a mouse. Your staff and associated persons will always have access to your most updated procedures.

Our on-line Written Supervisory Procedures provides the foundation of your compliance program. Below are just a few of the benefits this product offers:

Unlimited access to staff and associated persons
Eliminate outdated procedures
On-line acknowledgements ensure that your policies are being read