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Policy Manager | Broker Dealer Edition

Overview

Today Broker Dealers are inundated with a barrage of shifting rules and regulations that must be collated, interpreted and applied to their written supervisory procedures (WSPs). This manual, time-consuming process, is not only burdensome to a firm but can also increase the risk of non-compliance, as updates often take weeks to approve and roll out as policies. Even once the changes are effective, the firm has limited evidence as to who has accessed, read and understood the policy.

Our Approach

Built for Broker Dealers, to remove the costs and risks associated with manual policy management processes, Complinet Policy Manager | Broker Dealer Edition is the only enterprise-wide solution that directly connects your written supervisory procedures (WSPs) with the external regulatory rulebooks. This direct connection not only reduces the potential for firms to miss any rule changes but also helps to alert you to regulatory change and drives the process automatically.

Complinet Policy Manager | Broker Dealer Edition is available as two options:

Policy Manager | Broker Dealer Edition | Managed Service

This provides Broker Dealers with a comprehensive WSP customized by our expert regulatory consultants to meet the firm’s specific regulatory requirements. All regulatory updates are automatically incorporated into the manual and reflect current feedback from regulatory exams at over 150 firms that use the manual, giving comfort to the firm that their WSP is fully in line with the latest regulatory requirements.

Policy Manager | Broker Dealer Edition | Active Manual

This provides Broker Dealers with a comprehensive WSP that will initially be customized by our expert regulatory consultants. With the active manual solution, updates are automatically provided to the WSP but the option to incorporate the changes rests with the firm

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