ACM - Annual Compliance Meetings: Live & On-Demand Webcasts
FirmElement.com™ accommodates broker-dealers in meeting this annual requirement, reducing costs, increasing representative attendance and decreasing risk and exposure. Firmelement.com has flexible solutions allowing broker-dealers to choose topics from our e-ACM Library to incorporate alongside their own proprietary content, supporting and enhancing their Annual Compliance Meeting.
Firmelement.com will provide the following services to develop and deliver your Annual Compliance Meeting and Questionnaire:
- Custom development of questionnaire – Needs Analysis Assessment
- Delivery, collection, evaluation and breakdown results of Questionnaire
- "Hot Topic" recommendations based on Questionnaire results
- Custom development of Annual Compliance Meeting presentation
- Delivery of Annual Compliance Meeting via live or On-Demand web cast technology
Firmelement.com will implement the following safeguards in accordance with NASD NTM 99-45:
- Email announcement and registration invitations
- Unique username and password accessible only to registered participants
- Records of attendance are recorded, archived and kept in secure "read only" format
- "Click-as-you-go" configuration controlling the pace of the presentation, tracking the number of minutes the web cast stays on ensuring participant attention and completion
- Polling and testing functionality
- Mandatory final attestation of completion
- Participants will be directed to their ACM Q&A board allowing representatives to post questions and receive feedback regarding the presentation
- Insertion of forms capturing required information i.e. outside business activities
- A cumulative report tracking attendee activity i.e. time spent, test completion, completion attestations, questions and feedback regarding the presentation
- Archived for anytime retrieval
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