The Challenge
Small-to-medium firms face the same regulatory requirements as large firms, but without the benefits of their resources and economies of scale. They struggle with incompatible products from multiple vendors, conflicting advice and an inability to efficiently track and monitor compliance activities. The result is lost productivity, higher costs and increased regulatory exposure.
The Solution
Designed with your business in mind, ComplianceMAX Small Business Compliance Resources™ (SBC Resources™) provides your firm with all of the functionality of an enterprise compliance system without the cost or complexity.
Consolidate all of your registered rep data and compliance activities through a single web-based compliance workstation, manage your monthly compliance calendar, assign and track firm element training, manage annual disclosures and conduct audits all through SBC Resources™.
With SBC Resources™ you have total control over your compliance program because you manage the system. Maintain your hierarchy of branches and users, and schedule compliance assignments with a few mouse clicks. Powerful reports keep you informed and compliance workflow queues allow you to "manage by exception." |
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SBC Resources™ includes a monthly compliance program called Resources™, Firm Element Training, Compliance Forms & Disclosures and essential CCO tools & utilities.
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