Policy Library and Document Management
Start with 20+ pre-built compliance policy templates or upload your firm's existing documents. Version control, acknowledgment tracking, and automated distribution ensure your policies are current, accessible, and documented.
Outdated Policies Create Regulatory Exposure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
Upload or Draft Policies
Import existing policy documents or draft new ones directly in the platform. Rich text editing and template support included.
Version Control
Every edit creates a new version. Compare changes side-by-side, see who modified what, and roll back to any previous version.
Distribute and Notify
Push updated policies to targeted employees or the entire firm. Automated notifications ensure no one misses a critical update.
Track Acknowledgment
Employees review and acknowledge receipt with electronic signatures. Dashboards show who has and has not acknowledged.
Key Capabilities
Professional policy lifecycle management
20+ pre-built compliance policy templates
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
20+ Pre-Built Policy Templates
Start with professionally drafted compliance policies and customize for your firm
Every template includes real regulatory language, citation references, and is updated for current SEC and FINRA requirements.
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