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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 5.0 includes a comprehensive Information Security Program
(ISP) that meets recently-enacted federal and state requirements. The ISP was developed
from the stringent Massachusetts regulations (201 CMR 17.00) that
will likely become the financial services industry standard as the
SEC and the individual states embrace the Massachusetts regulations.
Easy to implement, the Compliance Manual comprises forty
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 5.0 changes. The price of the Compliance Manual is $249.00. |