Supervisory Controls System

An integrated solution for meeting supervisory requirements

LIMRA’s Supervisory Controls System combines an industry-leading online platform with expert advice to help you streamline operations and improve risk management. Now you can

• Efficiently and effectively develop, deliver, test, process, and control critical supervisory tasks using just one system
• Ease communication of written supervisory procedures (WSPs) across your entire organization
• Simplify disclosure, recordkeeping, and principal review tasks

We can help you develop supervisory procedures that reflect both the current state of your firm and the latest regulatory requirements. Our team of experienced compliance advisors includes a recent FINRA district director and former CCOs, compliance executives, and professionals. We understand your challenges because we have lived them.

In a real-time environment, the Supervisory Controls System allows you to:

• Deliver new and revised procedures to only those who need to see them, record delivery dates, and confirm receipt
• Track and archive all procedures by version and date effective
• Deliver firm element training
• Archive and index key representative disclosures on outside activities and third party brokerage accounts
• Access a risk management dashboard with history across the enterprise, by region, branch or just one rep
• Assign remediation tasks and responsibilities
• Document key compliance records in 17a-4 compliant manner

• How may we help you?

Supervisory Controls System is a trademark of LIMRA.