Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

Annual Compliance Meeting (ACM)

Annual Compliance Meeting image

Organizations can deliver ACM through Kaplan's platform, powered by SmartPros, or build it using existing modules. With a collection of video-based ACM topics produced at SmartPros’ state-of-the-art production facility, clients have the ability to select segments appropriate to their firm’s ACM. Training is delivered through a platform that is not only rep-friendly, but fully compliant with FINRA Rule 3010(a)(7) supporting virtual on-demand delivery of ACMs.

Using Kaplan's ACM platform maximizes rep’s flexibility to complete this requirement on their schedule while allowing management to take full advantage of data feeds, tracking, and automated reminder features that help ensure established deadlines are met.

ACM Features

  • Customized or pre-recorded presentations
  • Administrator dashboards to monitor completion status
  • Polling questions to validate attendance
  • Printable reports
  • Automated email reminders
  • Participant resource center for proprietary compliance documents