The Compliance Department, Inc - Online Annual Compliance Questionnaire

Online ACQ Questionnaire		<Return to Service List

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	The Online Annual Compliance Questionnaire from The Compliance Department Inc. (TCD) provides an easy online solution for all sizes of Firms. Our comprehensive ACQ reports provide both the depth and breath of information to identify individual and systemic compliance issues.

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The Online Annual Compliance Questionnaire from The Compliance Department Inc. was created in response to broker-dealer’s ever growing need for usable and applicable information derived from the ACQ process as well as the need to increase efficiency and automation in the Broker/Dealer. Features and Benefits: Web-based on-line system Unique user ID and Password 24/7 availability Secure Server Better utilization of manpower and time Detailed management reports Paperless reporting Attendance Completion Statistical Anomalies Systemic Compliance Issues Enhances firms Risk Management Program Key Risk Indicators Automated flagging and notification Industry standard questions Customized questionnaires available Competitive pricing with discounts available for bundling