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Annual Compliance Meeting & Annual Compliance Questionnaire ServicesAnnual compliance services effectively reduce time, costs, increase representative attendance and decrease your compliance risk and exposure. Compliance experts provide custom tailored advice and assistance to manage the regulatory expectations, rules and regulations. Compliance experts will handle all aspects of your annual compliance meeting and questionnaire, meeting and keeping up with regulator expectations as they evolve. Compliance experts will provide the following services to develop and deliver your annual compliance meeting and questionnaire: custom development of questionnaire, collection, evaluation and break down of questionnaire results, "hot topic" recommendations based on questionnaire results, custom development and delivery of annual compliance meeting via on-demand technology. Annual compliance services implement the following safeguards in accordance with NASD NTM 99-45: email announcements and registration invitations, unique user name 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 thus meeting attendance requirements, polling and testing functionality, mandatory final attestation of completion, fulfillment of the interactivity requirement, ability to insert forms capturing required information i.e. outside business activities, a cumulative report tracking attendee activity i.e. time spent, test completions, completion attestations- recorded and archived for anytime retrieval.
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