Employee Compliance Solution
Personal trading surveillance and code of ethics (code of conduct) management
Monitoring employees’ personal trading activity and personal account dealing is a crucial piece of an effective compliance program and an area regulators continuously target.
Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more. It helps your firm’s compliance team to quickly and accurately identify potential conflicts of interest while simplifying the submission of approval requests and disclosures for employees.