Bundled (multiple products/modules available)
By National Regulatory Services
29 Brook St., PO Box 71
Lakeville, CT 6039
NRS ComplianceMAX is a compliance and risk management platform for broker-dealers, mutual fund companies, investment advisors, banks and insurance companies. ComplianceMAX helps integrate compliance into your firm’s overall business model and daily activities by providing the tools your firm needs to work smarter, faster and with lower costs.
With over 160,000 users across 500 firms and growing, the ComplianceMAX platform includes configurable solutions for Audit, Complaints, Registration, Gifts and Political contribution tracking, Annual Compliance Questionnaires, affirmations, attestations, surveys, ADV Part 2B, Firm Element, Insurance CE, Annual Compliance Meetings and more. The ComplianceMAX platform also serves as an integral component of our Field Audit Solutions Service, which conducts thousands of branch and advisor audits on behalf of our customers each year.
As part of the ComplianceMAX solution, NRS also provides complete project and implementation management and world-class customer care. Our regulatory consulting staff continually monitors regulatory developments and updates and enhances the platform as the regulatory environment changes. ComplianceMAX has everything you need to tackle your toughest compliance challenges.
- ADV Part 2B
- Annual Compliance Questionnaire
- Audit Technology
- Client On-Boarding
- Communications and Advertising Review
- Complaints Tracking
- Continuing Education
- Field Audit Solutions
- Gifts and Entertainment Tracking
- Outside Business Activities Disclosure
- Personal Investment Account Disclosure
- Political Contribution (Pay-to-Play) Disclosure
- Private Securities Transaction Disclosure
- Rep Insight (Registration Management)
- Document management
Contact for Additional Product Information
vice president of sales
*Note: Product information as of April 04, 2013
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