Regulated firms must have relevant policies in place regarding the processes they need to follow to ensure they meet regulatory obligations.

Compliance Star

  • 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.
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