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Policy Library and Document Management

Start with 53 pre-built compliance policy templates — filtered to your SEC, state, or broker-dealer registration — or upload your firm's existing documents. Version control, acknowledgment tracking, and automated distribution ensure your policies are current, accessible, and documented.

Compliance ManualCode of EthicsPrivacy PolicyADV Part 2ABusiness Continuity Plan

Outdated Policies Create Regulatory Exposure

If you cannot prove employees received and acknowledged current policies, examiners will note the deficiency.

The SEC requires advisers to adopt and implement written compliance policies and procedures. That means more than drafting documents — it means distributing them, confirming receipt, keeping them current, and maintaining records of every version. Shared drives and email cannot do this reliably.

How It Works

From draft to documented acknowledgment

1

Upload or Draft Policies

Import existing policy documents or draft new ones directly in the platform. Rich text editing and template support included.

2

Version Control

Every published edit creates a new version. Compare changes side-by-side, see who modified what, and download any previous version.

3

Distribute and Notify

Push updated policies to targeted employees or the entire firm. Automated notifications ensure no one misses a critical update.

4

Track Acknowledgment

Employees review and acknowledge receipt with electronic signatures. Dashboards show who has and has not acknowledged.

Key Capabilities

Professional policy lifecycle management

53 pre-built policy templates, filtered to your registration

Firm upload support (PDF, DOCX, PPTX)

Full version control with change history

Electronic acknowledgment tracking

Automated distribution management

Full-text search across all policies

Side-by-side version comparison

Exam-ready export and documentation

Regulations Covered

Documentation requirements across regulatory frameworks

Rule 206(4)-7 — Written Compliance Policies and Procedures
Rule 204-2 — Books and Records Requirements
FINRA Rule 3110 — Written Supervisory Procedures
SEC Regulation S-P — Privacy Policy Requirements
SEC Regulation S-ID — Identity Theft Red Flags
ERISA Fiduciary Standards — Compliance Documentation

53 Pre-Built Policy Templates

Start with professionally drafted compliance policies and customize for your firm

Compliance Program ManualCode of Ethics and Personal Securities TransactionsInsider Trading and Material Nonpublic InformationSupervision of Supervised PersonsPrivacy of Client Information (Regulation S-P)Information Security and CybersecurityIncident Response and Breach NotificationIdentity Theft Red Flags (Regulation S-ID)Vendor and Service-Provider OversightBusiness Continuity and Succession PlanMarketing and Advertising (Investment Advisers)Performance Advertising and CalculationElectronic Communications and Social MediaOff-Channel CommunicationsBooks and RecordsAnti-Money Laundering and OFAC (Investment Advisers)Gifts and EntertainmentOutside Business Activities and Private Securities TransactionsPolitical Contributions (Pay-to-Play)Custody and Safeguarding of Client AssetsTrading, Best Execution, and Trade AllocationAdvisory Fees and BillingForm ADV, Brochure Delivery, and Disclosure UpdatesWritten Supervisory Procedures (Broker-Dealer)Suitability and Regulation Best Interest (Broker-Dealer)

A selection of the 53 — 48 apply to SEC-registered advisers, 47 to state-registered advisers, and 28 to broker-dealers. Every template includes real regulatory language and citation references.

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