Access Compliance FS

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Overview

Sub-Market: 

Independent RIAs
  1. Title
Enterprise Compliance and Risk
Global Asset Managers
Global Wealth Managers
Institutional Broker Dealers

Independent Registered Investment Advisors

By using Access Compliance FS, our clients successfully:
  • Improve sales productivity
  • Increase revenue
  • Increase employee confidence
  • Reduce risk of noncompliance
  • Reduce opportunity costs
  • Reduce uncertainty
As the Independent RIA channel continues its expansion, Advisors and their firms are feeling the impact of building their businesses in a heightened regulatory environment.  The need to focus on instituting cultures of compliance, regardless of their size, is paramount to their success.

Access Compliance FS – Independent Registered Investment Advisors provides these firms an efficient, affordable, “one-stop-shop” to meet the demands they face – from monitoring changing regulations to administering an appropriate compliance program. In addition to the standard Access Compliance FS tools, the Independent RIA portal offers enhanced features such as:
 
Regulatory Change Management
  • Track rules and regulations
    • FINRA, MSRB, NASAA, NYSE, SEC, and State Regs
  • Review headlines and enforcement actions
  • Link your policies and training materials
Education Programs
  • Annuity Education Program
  • Compliance Associate Professional Development
Program
  • Supervisory Education Program
Course Libraries
  • Alternative Investments
  • Annuities
  • Compliance
  • Supervisory
  • Wealth Management and Advisory

COMPLIANCE TOOLS

  1. Policy and Procedure Management
    Standard
    > Centralize policy administration > Maintain key policy information - Standard and custom attributes > Simplify life cycle management
  2. Education and Training
    ** Enhanced **
    Education Programs - ​Annuity Education Program - Compliance Associate Professional Development Program - Supervisory Education Program Course Libraries - Alternative Investments - Annuities - Compliance - FINRA CE - Supervisory - Wealth Management and Advisory
  3. Regulatory Change Management
    ** Enhanced **
    A regulatory tracking tool that assists an organization in its regulatory change management. - Track rules and regulations FINRA, MSRB, NASD, NASAA, NYSE, SEC, and State Regs - Review headlines and enforcement actions - Link your policies and training materials
  4. Compliance Forms and Disclosure Management
    Standard
    > Automate forms and processes easily to track - Outside Business Activities - Gifts and Entertainment - Political contributions - Others
  5. Compliance Assessments/Surveys
    Standard
    > Conduct needs-analysis surveys - customizable data-gathering tool > Mirror internal processes - flexible workflows and follow-up
  6. Branch Exams/Audit Management
    Standard
    > Automate and track the exam process > Create exam forms, schedule exams, and resolve deficiencies more efficiently > View detailed reports online
  7. Content Distribution and Tracking
    Standard
    > Control who sees what and when > Find critical information easily - Flexible filters and content searches > Track policy usage, course completion, and attestations.

BENEFITS

Access Compliance FS is flexible. 

Access Compliance FS is configured to deliver information that is directly relevant to the role, responsibilities and environment of every user when and where it is needed, thereby enhancing employee productivity while embedding compliance in your business practices. 

You can brand Access Compliance FS applications and integrate them with your existing business systems and processes for a seamless user experience.

Access Compliance FS is practical. 

As Access Compliance is modularly designed, you can easily deploy  the components your team needs.

Access Compliance FS is fast.

Access Compliance’s technology leverages SaaS to take the strain off your IT resources, enable rapid implementation, and ease integration with existing systems and workflows. 

Access Compliance FS is comprehensive. 

Access Compliance’s rich online capabilities provide a comprehensive and an actionable approach to managing an effective compliance program.
 
> Publish and maintain policies and procedures across roles in the organization

> Integrate policies, training, and education

> Track and report on employee awareness and adherence

> Map policies and procedures to various risks, controls and compliance requirements

> Align corporate, business group, and country-specific policies – at the end-user level – to ensure users see only the policies they need to do their jobs, to stay compliant, and to stay productive.