Employee compliance for the financial services sector

Whether you have 50 employees or 5,000, monitor, verify and mitigate employee trade risk – from personal trading to cryptocurrency to private investments and beyond – with precision and accuracy. 

Our employee compliance solutions mitigate risk associated with:

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Personal trading

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Private investment

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Gifts and entertainment

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Conflicts of interest

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Outside business affiliation

Managing material non-public information

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Marketing material

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Insider trading

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Political contributions

A compliance command center for today's workforce

Compliance command center

Digital Asset Trade Monitoring

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Trade and activity monitoring

Trade monitoring

Certifications and attestations

Certifications and attestations

Compliance reporting, archiving and analytics

Compliance reporting and analytics

Monitor firm-wide activity and MNPI

Monitor firmwide activity and MNPI

Automatically identify instances of market abuse

Risk management
ComplySci Spotlight: Monitor and mitigate employee trade risk.

Don't take our word for it