Kaplan's offices will be closed Monday, May 29, in observance of Memorial Day. Technical Support will be available via email at ​kfeducation@kaplan.com during business hours. We look forward to serving you when we return Tuesday, May 30.

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

Compliance Solutions

Compliance Solutions

Compliance Solutions image

Look to Kaplan for a suite of compliance solutions, powered by SmartPros, to meet the needs of your enterprise. From AMS to Firm Element to ACQ and ACM, our robust and flexible platforms will help you stay compliant. Select the buttons below to learn more.


Audit Management System
A robust, online audit platform that supports any size or type of financial services organization.

Annual Compliance Questionnaire
A client-data driven platform that stays up-to-date with data feeds from your system.

Annual Compliance Meeting
Deliver your ACM through our platform or build it using SmartPros’ existing modules.

Firm Element
A student-friendly turnkey solution for delivering required continuing education, with supervisory oversight and tracking.


Enterprice Compliance Brochure

View the Compliance Solutions Brochure >