Global Wealth Managers

Access Compliance FS –
Global Wealth Managers

Global Wealth Managers continue to face the challenge of proactively managing the impact of changing regulations on their business – from the sophisticated and complex products they are offering to the flexible and innovative sales channels they are instituting. They are looking for solutions that can provide them a solid infrastructure and control, yet with the agility to respond to emerging risks as their business models evolve. 

Access Compliance FS – Global Wealth Managers, a comprehensive cloud-based GRC solution, provides firms the ability to address regulatory requirements while seamlessly integrating policies, processes, and compliance tasks.

Please contact us for more information or to request a demonstration.

Enhanced GRC Tools and Content 

Regulatory Monitoring

Track rules and regulations:
 - FINRA, MSRB, NASAA, NYSE, SEC, and State Regs  

Review headlines and enforcement actions

Link your policies and training materials


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Branch Exams

Create exam forms, schedule and conduct branch exams, and resolve deficiencies online. 

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Education and Training

Course Libraries  
- Alternative Investments
- Annuities
- Compliance
- FINRA CE
- Supervisory 
- Wealth Management and Advisory


Education Programs
- Annuity Education Program
- Complex Products Education Program
- Compliance Associate Professional Development Program
- Financial Advisor Professional Development Program
- Supervisory Education Program


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Compliance Forms and Disclosures

Automate forms and processes easily to track:
- Outside Business Activities
- Gifts and Entertainment 
- Political contributions 

And more.


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All Available GRC Tools and Content

Risk Management

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Regulatory Change Management

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Regulatory Monitoring

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Policy Management

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Education and Training

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Assessments and Surveys

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Forms and Disclosures

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Audit/Branch Exams

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Learn more about what we do

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