Solutions for Broker-Dealers

Compliance and Audit Management

Compliance Solutions Overview
Advertising Review
Annual Compliance Meeting
Audit Management
Complaint Management
Compliance Questionnaires
Customer Communications
Email Archiving
FINRA Registration Profiles
Form ADV Supplement
Policies and Procedures / WSP
Regulatory Change Mgmt.
SCORE Risk Control Center

Conflict of Interest Management

Conflicts of Interest Overview
Gifts and Gratuities
Outside Business Activities
Personal Trade Monitoring
Political Contributions

Compliance Education and Product Training

Overview
Annuities Training Platform
CE Tracking
CE Program Management
FINRA E-Learning Portal
Firm Element Training
Insurance CE

Contracting, Licensing and Registration

Xchange Enterprise Overview
Xchange for Adjuster Licensing
Xchange for Call Centers
Xchange Contracting
Xchange for Distributors
Xchange for Life, Health and Variable Annuities Carriers
Xchange for Property and Casualty Carriers
CE Central
Registered Rep Onboarding
State Requirements
Registration and Licensing Outsourcing Services