Compliance Solutions

Kaplan Financial's array of compliance tools and services integrate the mission critical tasks and workflow associated with managing the producer/representative lifecycle.

For more information on these products and services, call (800) 824-8742.

Our tools and services include:

Compliance Applications

• Compliance Management System^SM
• Producer+®
• appointpak.com™
• Securities Regulator^SM
• e-PAL Online Reference Service

Outsourcing Solutions

• Licensing and Registration Services^SM 
• Producer Data Validation Service

Why Partner with Kaplan Financial? 

• Reduce risk and exposure with a smarter, safer compliance solution as compared with the complex, manual processes and internal systems that can put your firm at risk. 
• Eliminate costly administrative overhead by automating or outsourcing the non-value-added administrative tasks associated with compliance management, tracking and reporting. 
• Focus on compliance, not systems, by spending more time staying on top of new regulations and less time managing compliance systems.