What is THE MISSION of CSS? The mission of Compliance Support Services (CSS) is to lower business risk and the cost of compliance review and monitoring through industry wide standardization, collaboration and tools.

Summary of Compliance Support Services

1. Compliance Online Triage: Web based service that performs a preliminary review and tracks requests for compliance approval of items such as outside business activities, sales materials, seminars, web sites and website changes.
2. RR Compliance WebMonitor: Monthly reporting of unapproved website changes. All websites are examined each month to determine if unauthorized services or content are being advertised. Offending websites are reported to the responsible compliance officer in the field and/or home office.
3. Compliance Expert Training & Certification: New compliance staff is provided with a one-day and a half training on best compliance practices. Candidates are tested and certified upon successful completion of the test.
4. Remote Compliance Audit: A compliance program that provides “boots on the ground” for field offices in remote locations to perform required audits without the high cost and time loss of travel.
5. Participation in Dalbar’s Compliance Forum: Dalbar’s Compliance Forum brings together decision makers within financial services compliance who are leaders in setting strategy for developing and maintaining compliance standards.

The Forum meets twice per year and marries Dalbar’s most up to date industry expertise with a peer discussion on issues that are of the greatest importance to members. The mission of the Compliance Forum is to lower business risk and the cost of compliance review and monitoring through industry wide standardization, collaboration and tools.

What is the Cost of participation in CSS?Firms pay an annual participation fee of $2,500 to be a part of the Compliance Support Service program. This is an overhead expense that entitles the firm to buy any or all of the specific program services listed above.

The Compliance Support Services are then priced upon request depending on the scope of the engagement.