Access Compliance FS

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Compliance Tools


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  1. Title
Enterprise Compliance and Risk
Global Asset Managers
Global Wealth Managers
Institutional Broker Dealers
Independent RIAs


By using Access Compliance FS, our clients successfully:
  • Improve sales productivity
  • Increase revenue
  • Increase employee confidence
  • Reduce risk of noncompliance
  • Reduce opportunity costs
  • Reduce uncertainty
Financial Services companies are operating in an increasingly complex market: from rapidly changing regulatory landscapes to the distribution of complicated and sophisticated products. The pressure is on to modernize and standardize their approach to managing and communicating policies, optimizing operational efficiencies, and monitoring risk. 
With compliance tools and content tailored to address individual submarkets, Access Compliance FS provides them the platform to meet these challenges – quickly, efficiently, and cost-effectively.
Access Compliance FS offers online tools for:
  • Policy and Procedure Management
  • Education and Training Management
  • Regulatory Monitoring
  • Compliance Assessments/Surveys
  • Forms and Disclosure Managment
  • Branch Exams/Audit Management
Integrated into all aspects of Access Compliance FS are the Compliance Content Distribution and Tracking features that allow administrators to control who sees what and when using Push-by-Profile distribution and customized audience assignments. The robust tracking feature allows administrators to track policy usage, course completion, and acknowledgment of alerts and attestations.


  1. Policy and Procedure Management
    > Centralize policy administration > Maintain key policy information - Standard and custom attributes > Simplify life cycle management
  2. Education and Training Management
    > Select from CFM-designed course libraries and programs > Upload existing training content - PowerPoint presentations, videos, etc. > Tailor courses to your policies and procedures
  3. Compliance Assessments/Surveys
    > Conduct needs-analysis surveys - Customizable data-gathering tool > Mirror internal processes - Flexible workflows and follow-up
  4. Compliance Forms and Disclosure Management
    > Automate forms and processes easily to track - Outside Business Activities - Gifts and Entertainment - Political Contributions - Others
  5. Audit Management
    > Automate and track the exam process > Create exam forms, schedule exams, and resolve deficiencies more efficiently > View detailed reports online
  6. Content Distribution and Tracking
    > Control who sees what and when > Find critical information easily - Flexible filters and content searches > Track policy usage, course completion, and attestations.
  7. Regulatory Change Management
    > A regulatory tracking tool that assists an organization in its regulatory change management. - Track regulations - Review headlines and enforcement actions - Link your policies and training materials
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Access Compliance FS is flexible. 

Access Compliance FS is configured to deliver information that is directly relevant to the role, responsibilities and environment of every user when and where it is needed, thereby enhancing employee productivity while embedding compliance in your business practices. 

You can brand Access Compliance FS applications and integrate them with your existing business systems and processes for a seamless user experience.

Access Compliance FS is practical. 

As Access Compliance FS is modularly designed, you can easily deploy  the components your team needs.

Access Compliance FS is fast.

Access Compliance FS’ technology leverages SaaS to take the strain off your IT resources, enable rapid implementation, and ease integration with existing systems and workflows. 

Access Compliance FS is comprehensive. 

Access Compliance FS’ rich online capabilities provide a comprehensive and an actionable approach to managing an effective compliance program.
> Publish and maintain policies and procedures across roles in the organization

> Integrate policies, training, and education

> Track and report on employee awareness and adherence

> Map policies and procedures to various risks, controls and compliance requirements

> Align corporate, business group, and country-specific policies – at the end-user level – to ensure users see only the policies they need to do their jobs, to stay compliant, and to stay productive