Solutions and Features
Personal Trading Control Center™
PTCC™ is a web-based system that provides complete Code of Ethics and Personal Trading surveillance and will significantly reduce your operating costs when compared to traditional solutions . It provides all the features you would expect such as pre-clearance, electronic confirms, and back testing - plus features that no other system has such as "risk based" analysis, third party insider trading mapping, and other controls that support the scrutiny requested by the SEC's recent hedge fund sweeps. PTCC™ will let you do much more and pay much less.Learn More >>
An enterprise scaled tool designed to capture and certify institutional contract data across all clients and counterparty agreements including IMAs, Sub Advisory Agreements, Prospectuses, Subscriptions, High Net Worth, Wrap Accounts, ISDAs, Sec Lendings, Side Letters, etc. C-TRAC™ allows stakeholders to access and review all legal obligations 24x7x365 using secure browser based technology.Learn More >>
A searchable and sortable document tool designed specifically for Investment Advisors, Brokers/Dealers and Hedge Funds to better enable them to quickly and efficiently respond to regulatory exams. Our unique Text Capture system and OCR engine allows you to search documents and even image-scans based on the text within.Learn More >>
Compliance Science Recent News
We’re accelerating product development and entry into new markets.
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Speak with an industry expert from Compliance Science. Click here for a list of events we are attending.
COMPLIANCE SCIENCE CLOSES SERIES A FINANCING FROM EDISON VENTURES
New York, NY – January 8, 2014 – Compliance Science, Inc. (“CSI”), a leading web-based provider of regulatory compliance technology and services, today announced that it has received an $8.25 million Series A investment from Edison Ventures, an information technology-focused venture capital firm. Edison Venture’s minority investment is the first outside capital that Compliance Science has received, and will accelerate the Company’s technology and product development and its expansion into new and global markets.
“PTCC is ideal for preclearance, reporting and monitoring of our employees’ personal trading activity…”
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PTCC is ideal for preclearance, reporting and monitoring of our employees’ personal trading activity and other code of ethics obligations. The system’s flexibility also allows us to use PTCC for reporting and certifications outside of our code of ethics requirements. The CSI team is knowledgeable, professional, and highly responsive. I would strongly recommend Compliance Science to others in the industry.
CCO of 550 access person Investment Advisory, Broker Dealer Firm
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Investment Advisors -
OCIE Exams • PERSONAL TRADING • Mock Audits • GIPS Audit • Annual Compliance Review • Form ADV Part I & II • SAS 70 • Business Continuity Plan • Regulatory Correspondence • Code of Ethics • FOIA Exempt Documents • Privileged Communications • Client Complaints • Marketing Materials • Policies and Procedures • Board Minutes • No Action Letters
Broker Dealers -
NASD & NYSE Exam requests • Annual OSJ Audit • Arbitrations • Best Execution • Branch Office Audits • Business Continuity Plan • Compliance or Supervisory Bulletins or Memos • Customer Complaints • Deficiency Letters • Form BD • Licensing • Web CRD Administration • Regulatory Correspondence • 3012/3013 Certifications
Hedge Funds -
Subscription Agreements • Redemption Request Forms • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • Side Letters • Soft Dollars • Proxy Voting • Disclosure Documents • Fund Documents • ISDA Agreements • Prime Broker Agreements • Service Provider Agreements
Investment Companies -
38a-1 Oversight • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • SAI • Board Minutes • Proxy Voting • Disclosure Documents • Fund Documents • Prospectus • Service Provider Oversight • Employee Manual
Is Your Firm Impacted by
Recent landmark dates make a review necessary for Investment Advisers.
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You Have the Right
Avoid Insider Trading Problems by Monitoring Your Employees Personal Trading Activities.
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