Independent RIAs

Access Compliance FS –
Independent RIAs

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, a comprehensive cloud-based GRC solution, provides firms an efficient, affordable, “one-stop-shop” to meet the demands they face – from monitoring changing regulations to administering an appropriate compliance program.

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

Enhanced GRC Tools and Content

Education and Training

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



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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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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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