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The ProTracker Compliance Manual is designed for independent
financial advisory firms, both SEC- and state-registered, to
simplify the implementation of compliance rules and regulations.
Version 6 includes a completely-revised custody section, a new proxy
voting policy and a new social media policy section. The social
media policy includes a PowerPoint training document to help train
employees on the vagaries of social media use. In addition, Version
6 contains minor revisions to ten other sections that were affected
by the Dodd-Frank Act enacted in 2010.
Easy to implement, the Compliance Manual comprises forty-one
sections that are
separate Microsoft Word documents. Each section may be tailored to
your own firm's procedures.
Updates to the Compliance Manual are provided at no cost
for one year from your date of purchase.
View the
Version 6.0 changes. The price of the Compliance Manual is $249.00. |