Bundled (multiple products/modules available)

NRS ComplianceMAX

By National Regulatory Services

29 Brook St., PO Box 71

Lakeville, CT 6039

nrs-inc.com


Description

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.


CMAX Modules:
  • 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)


Services Offered

  • Document management
  • Compliance

Video Demonstration


Contact for Additional Product Information

Oriana DeRose

vice president of sales

(858) 586-2542

oderose@nrs-inc.com


*Note: Product information as of April 04, 2013

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For information about an enhanced product listing, please contact Ayana Reid at (212) 210-0774 or areid@investmentnews.com.