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Manuals: Written Supervisory Procedures.

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  • Eliminate outdated procedures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