The Gold Standard for Strategic Compliance Management Solutions
- Data Quality Management
- Trade Surveillance
- Broker Feeds Management
- Case Management
- Third Party Monitoring
- Task & Certifications Calendar
- Real-time Forensics & Alerts
- Dashboards & Reporting
Certification and Preclearance
Intuitive, fast, mobile ready, configurable
Fully automates the certification process to satisfy regulatory requirements for personal trading, gifts and entertainment, outside affiliations, political contributions, marketing and advertising, private placements, IPOs and any number of custom policies. In addition, preclears employee activities such as trade requests at anytime from anywhere or mobile device, in accordance with your company’s Code of Conduct policies.
- Code of Conduct
- Personal Account Trading
- Gifts & Entertainment
- Political contributions
- Outside Affiliations
- Private Placement & IPO
- Marketing & Advertising
- Custom Policies
- Highest quality data is fundamental to achieving compliance excellence.
- The Risk Data Engine™ powers data aggregation, normalization and enrichment from all data sources – broker feeds, firm trades, T&E, Sanction and Restricted Lists and more.
- Proprietary algorithms sync with the Securities Master to ensure only valid data enters the risk repository.
What You Can Expect
Protect against reputational damage
Manage conflicts of interest
Help mitigate people risk
Manage supervisory risk
Demonstrate a culture of compliance
Boost compliance team efficiency and effectiveness
Streamline audits and regulatory reviews