Compliance Questionnaires and Attestations

The MyComplianceOffice questionnaires provides an efficient solution for managing collection, analysis, and reporting of the critical compliance information required by the SEC and FINRA. You can easily create and customize questionnaires to meet the specific business needs of your business and replicate current paper forms.

The questionnaires functionality provides users with a user friendly and familiar interface to complete compliance attestations, and answer one or many questions within one assignment.

Examples of how MyComplianceOffice questionnaires can be used as part of your compliance program include:

  • Code of Ethics attestations.
  • Account attestations.
  • Trade and holding attestations.
  • Conflict of interest attestations.
  • Branch audits.
  • Hedge fund client accreditation tracking.
  • Custom client surveys.
  • New hire checklists.
  • New account checklists.
  • Books and records audits.
  • Fund Manager reviews.
  • Automation of any paper forms.

MyComplianceOffice offers additional features for attestations for specific code of ethics or potential conflicts of interests components such as gifts and entertainment, political contributions and outside interests.

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