The Gold Standard for Strategic Compliance Management Solutions

Risk Data Engine™

Compliance Administration

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.

Data Quality

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

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