Employee Compliance

Comply unifies trade monitoring across traditional securities and digital assets – with direct broker feeds, automated preclearance, and real-time alerts – so firms can move from reactive to proactive oversight.

• Monitor trades across accounts and asset types
• Automate preclearance and flag potential violations
• Maintain a complete audit trail for regulators

Comply delivers expert services to administer your Code of Ethics and software to build and maintain it with confidence.

• Administer certifications, attestations, trading, gifts, and OBAs with expert support
• Maintain restricted lists, private placements, and reporting through managed services
• Build and update Code of Ethics with guided workflows, templates, and version control

Comply gives firms a connected view of employee activity, helping identify and manage conflicts before they escalate – with the documentation to back it up.

• Automate preclearance and approvals
• Monitor trades with real-time alerts and reporting
• Manage certifications and attestations at scale

Comply gives firms a central location to capture, track, and resolve potential violations. Cases are routed through configurable workflows and documented with a full audit trail – helping you enforce policies and demonstrate oversight.

• Centralize investigations in a purpose-built platform
• Route reviews with role-based workflows
• Maintain a complete audit trail of actions

Comply makes it simple to turn employee activity into actionable insights.

• Visualize key data points with customizable dashboards
• Export reports for stakeholders and regulators
• Maintain a complete audit trail of employee activity

Comply helps firms manage pay-to-play risk by centralizing preclearance, monitoring, and reporting – with real-time visibility across public data sources.

• Aggregate and monitor political contribution records
• Automate preclearance requests
• Flag and document potential violations