Policies & Procedures
Training Systems
Helping FINServ partners to disclose business activities through technology and IT project support.
As Featured In
Compliance/Training Solutions
For Consulting Teams
Collaborate with firm clients, staff, and customers for compliance deliverables and calendar events
For Auditing Teams
Delegate ongoing reporting, documentation, and PCAOB, AICPA, SEC Blue sky, or ADV-E custody filing requirements
For Administration Teams
Manage back office duties, filing, and other reporting obligations
Features
White Labeling
Tailor with your brand identity and unique requirements.
Access Rights
Easily manage admin and user permissions.
Integrations
Integrate the app with your existing tools via API/SSO.
Compliance & Audit
Customizable workflows for training, disclosures, and audit reporting for all stakeholders.
Templates
Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.
Dashboards for Admin, Staff Clients
Seamlessly navigate the app through an intuitive interface accessible to multiple team members.
File sharing and Document requests
Share files with other users or request information securely.
IT/Security consulting
Including IT/cyber consulting with our partners.
SEC Marketing Rule
SEC Firms should adhere to provisions as set forth with New Marketing Rule 206(4) -1 in cases where the “adviser has participated in the creation or dissemination of an advertisement, or where an adviser has authorized a communication, the communication would be a communication of the adviser.” (Ref. SEC Marketing Rules)
State firms please confirm if marketing guidelines are aligned with the SEC marketing rule. Under Rule 206(4)-3 and similar state rules, we will not directly or indirectly provide any matchmaking, paid promotion, or find an advisor services through our website. An advisor chooses to direct communications and post marketing materials on its own accord.
FinServ Partner Training Course List
Purchase individual, bundled, or discounted offers with our compliance/training system subscripiton
RIA & B/D Compliance Programs
RIA, Funds, Investment Advisors, Broker-Dealers, Private Funds
Marketing/communications
Cyber security
Conflicts of interest,
Code of ethics,
Investment advisors act, insider trading,
Best Price and Execution
Investment Advisor Act of 1940
Regulation Best Interest (BI)
AML/BSA/OFAC Programs
Financial Institutions, Banks, Credit Unions
AML Fundamentals: Overview
AML in Cryptocurrencies
AML Model Validation
AML Risk Management
AML Training on Red Flags
BSA Best Audit Practices
BSA Overview & Fundamentals
BSA/AML/OFAC Risk Assessments
BSA: Reporting requirements
Creating & Managing an Effective AML Compliance Program
Currency Transaction Reports (CTRs): How to deal with common issues for filing.
Digital Assets: AML Risks
FinCEN: Overview and purpose
Fundamentals of CIP, CDD, EDD, CTR and Current Issues
KYC: Overview of regulations and what we need to do!
OFAC: Sanctions
CFPB
Consumer Protections
Fair Lending Regulations: CRA, UDAAP, ECOA, FHA, TILA
CFPB ABC Regulations: Regulaon B, C, E, F, G, M, P, V, X, Z, DD
CFPB Regulaon E: Payroll Card Compliance, Preauthorized Transfer, Prepaid Account,
Remittance Rule
CFPB’s Final Rule on LIBOR Transition: How to Prepare
CFPB’s Debt Collections Rules
Regulatory Compliance on Deposits: TISA, EFA Act, Check 21, The Garnishment Rule
Fair Debt Collection Practices Act (FDCPA)
EFT Act and Regulation E In 2024
E-Sign Act: Overview, technical requirements, Regulations
Regulaton E - Basics and Error Resolution
Fraud
Banking/Compliance
Fraud in Banking: Creating a fraud program.
Introduction to Fraud in Banking
Payments Fraud: Detect & Prevent Check, ACH and P-Card Schemes
Fraud: Insider trading, Embezzlement, Cyber Crime, Online Banking
NCUA
Credit Unions
Overview & Regulations
Interest Rate, Credit and Liquidity Risk for Credit Unions
Fraud Prevention and Detection
Informaon Security
Blockchain & Cryptocurrencies
All Firm Types
Introduction to Blockchains
Introduction to Cryptocurrencies
Cryptocurrencies: Basics, regulations in US & Aboard
Nacha
Payments/Clearing house
ACH WSUD vs. Stop Payment
Nacha Overview, Rules & Enforcement
Nacha Quarterly Regulatory Update
Nacha review of 2023 and the year ahead
Simplifying ACH Returns - Faster Returns in a Same-Day
Other topics
All Firm Types
Chat GPT/A.I: Fundamentals, how to search
How accountants can use Chat GPT Effectively
Learn the Dos and Don’ts of Opening Business Bank Accounts
FedNow: Overview and how to prepare
Secure and Fair Enforcement for Mortgage Licensing Act (S.A.F.E. Act)
Dodd-Frank: Overview and regulations
Third Party Vendor Risk
Software Packages
Enterprise Manager
Starting at
$6000 /year
or
$500 /month
Starting with 1 admin | 9 users
Includes
Cloud Storage
Admin/User access rights
Unlimited Calendar delegate portals
Forms/Templates
Training
Whitelabeling/Branding
API/SSO
Managed IT/cyber included (with cyber partners)
Training Courses w/software
Free live course ($600 value) w/ purchase of a Compliance/Training System annual subscription
Discounted bundles w/purchase of Compliance/Training System subscription
*Other compliance/training software configurations available*
Our Partners
