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Questionnaire Services – Red Flag NotificationsOur questionnaire services assist registered broker-dealers in the development, delivery, collection and evaluation of required annual questionnaires. Compliance experts work with your firm to develop custom tailored questionnaires specific to your business activities, organization structure and representative needs and will deliver these custom tailored questionnaires via your privately branded Virtual University using a seamless solution reducing representative time spent and increasing compliance oversight and management through red flag notifications and completion confirmations. Firms will receive a cumulative report providing a verifiable audit trail documenting representative completion and compliance actions taken regarding specific red flag notifications. Services can be provided for the following questionnaires: needs analysis questionnaire, annual compliance questionnaire, outside business activities, annual employee certification and proprietary specific questionnaires.
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