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Depth of Compliance
TurboCompliance® installs a well organized Internal Control Structure around each business process to automate the daily compliance workload required by each chapter of your compliance policies and procedures, including:
- Monitoring and supervising firm personnel and outside marketers
- Detecting or preventing incompliant activities
- Reporting up the chain of command
- Documenting all incompliance on each person's Compliance ScoreCardSM
- Sanctioning each member of the firm, based upon the CCO customized compliance rules, formulas, schedules
- Preparing your Annual Review
- Performing any desired forensic testing, including trending
- Satisfying all record keeping requirements
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