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Free Online Compliance Tool

Compliance Scorecard

Perform a regulatory compliance self assessment for free.
Answer simple questions and get your compliance score in 5 mins.

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Compliance Checker for Financial Advisors

This compliance scorecard tool is the most comprehensive compliance checker in the market.

Around 42% of insurance advisors fail to comply in annual audits and the worst part is they even don’t know what they are missing.

This audit compliance tool can be used for insurance compliance as well as financial planning compliance.

It covers different stages of the flow such as notes, documentation and client communication, so that you will know where you fall behind in regulatory compliance practices.

Benefits of Compliance Self Assessment

Be on Top of Business

Know everything about your business practice. See what is missed, where you lacked and how to improve.

Protect Clients

Clients entrust advisors with their private information. Self assessment helps in identifying privacy issues & resolving them.

Be Ready for Audits

Identify compliance risks in advance and always be ready for annual regulatory audits. Improve efficiency and lowers costs.

clock and dollar sign

Save Time

Regularly assessing compliance risk saves significant amount of time. Avoid the headache of having to sort through a non-compliance issue.

Maintain Reputation

Compliance assessment helps in identifying potential issues in advance, reducing the chance of failure, thus, protecting your reputation.

Make Informed Decisions

Identify compliance risks proactively. Make sure to address each one so that you can make informed decisions.

Data Privacy & Security

Privacy

All your data is encrypted and private. We neither access nor sell your or your client's information.

Security

The end-to-end encryption provides full security to your data and are safely hosted in Canada.

Features in Compliance Scorecard

Identification

Identify the carrier, the product sold and type of insurance it represents

Client Summary

A plain language summary of the client circumstances that led to the recommendation

Needs Description

A plain language description of the needs addressed by the recommendation

Follow Up Plan

If the recommendation does not address certain needs , a follow up plan to address in the future

Fee Structure

A plain language explanation on any fee structures chosen (where there was choice)

Client Feedback

Opportunity for the client to ask any questions if any information is unclear or incorrect.

The Upgraded Premium Version
Coming Soon

Here are some advance features to be added in Compliance Checker Tool

Sign up to get the updates and exclusive offers!

What are you waiting for?

Click the button below, answer few questions and get your regulatory compliance assessment report for free.

A Compliance Companion Tool For Financial Advisors

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A Compliance Companion Tool For Financial Advisors

A Compliance Companion Tool For Financial Advisors

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