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 and ACQ, 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.

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 >