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

Compliance Solutions

Compliance Solutions image

Look to Kaplan for a suite of compliance solutions, powered by SmartPros, to meet the needs of your enterprise. Our robust and flexible platforms will help you stay compliant. Fill out the contact us form to connect with an account manager to walk through a solution for your organization.

Audit Management System

A robust, online audit platform that supports any size or type of financial services organization including banks, broker dealers, investment advisors, and more. Clients can use the Audit Management System to conduct a broad array of audit types including: 

  • Branch- Office Inspections
  • Advisor Practice Reveiws (APRs)
  • New Accounts Sampling Audits
  • Supervisory Control System Audits

Annual Compliance Questionnaire

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

Powered by SmartPros, Kaplan's ACQ system is a robust, client-data driven platform that stays up-to-date with data feeds from your system. Advisors/reps can easily access and complete ACQ surveys from a link on any web page or email. Managers then access survey results on a group/region or individual basis, with drill-down report filters that can identify potential risks or trends. Using our proven templates, administrators can edit individual ACQ questions or work with SmartPros to create new modules pertinent to their firm’s business practices.

The ACQ system supports 20 question formats, including:

  • Multiple-choice
  • Yes/No
  • Likert questions
  • Kirkpatrick analysis
  • Instructor evaluation

View the Compliance Solutions Brochure >