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.
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