Regulated firms must have relevant policies in place regarding the processes they need to follow to ensure they meet regulatory obligations.
- Policies are maintained centrally and assigned according to the business type and relevance.
- Principals can assign which individuals within the AR firm have access to the manuals following on-boarding and during the life cycle of the AR firm.
- Oversight of regulatory changes can drive actions relating to the AR firms activities
- Manuals are stored centrally that can be viewed and download via the system.
- Updates to manuals are managed centrally ensuring AR firms and principals are compliant with current regulation.