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Headspring Consulting Inc.'s policies and procedures manual package
bridges the practical and legal obligations of firms and their advisors.
Our manuals are developed for dealerships large or small. Customization
is based on materials provided by the firm: current compliance manual,
forms in use, operations and company profile, software used, and
more.
Base Package:
Policies & procedures manual plus six hours of customization for
your firm.
Additional customization, training and consulting available at
an hourly rate.
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THE 30-SECOND COMPLIANCE
QUIZ
- Does your firm have a written mission
statement and principles?
- Do you have an up-to-date compliance
policies & procedures manual for all representatives?
- Would your firm "pass" a regulatory
audit?
- Does your firm track client complaints?
- Are your reps' files complete?
- Does your firm have continuing
education program guidelines in place?
If you answered "no" or "unsure" to
any of these questions, it's time to revisit your policies
and procedures manual.
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