Disclosure Statements

Simplify Compliance Disclosure

To comply with current SEC guidelines, firms require their employees to fill out disclosure statements. These disclosure statements are designed to identify outside business interests and personal investment activities. In an effort to prevent potential conflicts with firm activities, this compliance disclosure has become vital.

The Compliance11 Supervisory Suite enables your firm to automate the distribution and collection of disclosure statements to employees on a regular basis. Through this simplified process of disclosure statements gathering, you can also quickly identify employees who have not adhered to this compliance disclosure.

By scrutinizing disclosure statements you can be assured that your employees are following your firm's procedures and you are complying with SEC and FINRA guidelines. Compliance11's software simplifies the process of distributing and collecting employee disclosure statements, making compliance disclosure easier than you ever imagined. Discover the benefits of our compliance disclosure software today.