Compliance Training
Proof they trained.
Proof they passed.
Already on file.
Rule 206(4)-7 requires advisers to train employees on their compliance policies — not just document them. Examiners don't verify binders. They request completion records: who finished what course, when, and whether they demonstrated comprehension. If you can't produce that for every employee, that's a deficiency. Redan makes the record automatic, from day-one onboarding through annual certification.
Book a Demo
What It Does
Four capabilities. One continuous training record.
Course Delivery
Sequenced lessons with embedded knowledge checks and a scored quiz engine. Knowledge checks reinforce comprehension inline; the quiz enforces a passing threshold before completion is recorded. CCO reviews and approves the curriculum before it goes live. Every attempt recorded — pass, fail, score, and timestamp.
Auto-Enrollment Engine
Enrollment is trigger-driven — no CCO assignment required for onboarding or annual training. An employee joins the firm; a database trigger queues their enrollment automatically. Onboarding content stages over the new hire’s first month. Annual schedules run on a configured cadence; the system sends reminders to anyone overdue.
Certificates & Audit Trail
Every completion produces a SHA-256-signed certificate with a sequential certificate number. Certificates track their own expiry — when recertification is due, the system re-enrolls automatically. Certificate integrity is publicly verifiable by cert number, no Redan login required. Every event recorded to an append-only audit log — written once, never editable.
Remedial Engine
CCO logs a performance shortfall, assigns a targeted remedial course, and tracks completion. Corrective enrollments link directly to the shortfall record. Remedial completions are sealed and timestamped — a documented corrective action trail.
The Record
Four steps. Every employee. Every time.
CCO configures once
Setup Wizard creates assignment rules and annual schedules. Select a course bundle, approve the curriculum, install. Everything after that is automatic.
Employee joins
Database trigger fires. Onboarding enrollment queued and processed automatically — no CCO action required. Employee receives a course assignment notification.
Completes training
Sequenced lessons, embedded knowledge checks, scored quiz. Passing threshold enforced. Every attempt recorded with timestamp and score.
Certificate issued
SHA-256-signed certificate generated with a sequential number. WORM entry written. Blue Folio §5 updated. Exam-ready without manual assembly.
Use Cases
How CCOs manage training on record.
Annual Compliance Cycle
Annual training schedule fires on a configured cadence. Every active employee enrolled. The system reminds anyone overdue — no CCO follow-up required. Completions timestamped, hashed, and sealed. Blue Folio §5 populated without intervention.
New Hire Day One
Employee joins the firm. Database trigger queues onboarding enrollment automatically. Content stages over the new hire’s first month — curriculum that matches the onboarding arc. CCO tracks completion in the admin overview.
External Training Delivery
Annual training completed with an outside consultant or in a live session. CCO uploads attendance proof, marks completion. A verified external record sits alongside internally-delivered courses in the same audit trail.
SEC Exam
Examiner requests training evidence. Export Blue Folio §5. SHA-256-signed certificates independently verifiable by cert number — no Redan login required. Complete training record, nothing assembled manually.
Get Started
The record is built as they train.
Rule 206(4)-7 compliance training — trigger-enrolled, SHA-256-certified, exam-ready.
Book a Demo