= accelerating global growth and advancing the future of regulatory compliance for financial firms. Learn More

Code of Ethics

A strong Code of Ethics is a key pillar of every compliance program. Regulators expect firms to demonstrate that it’s consistently administered, enforced, and aligned with evolving regulatory expectations.

Comply delivers both sides of the equation – expert services to administer your Code of Ethics and software to build and maintain it with confidence.

Book a Demo
Code of Ethics Administration

Streamlined Review

Comply’s Code of Ethics Administration services streamline the review process of initial, quarterly and annual reporting, with services including:

  • Certification and attestation management
  • Employee personal trading system maintenance and administration
  • Gifts and entertainment maintenance and administration
  • Outside business activities maintenance and administration
  • Private placements administration
  • List maintenance
  • Standard report creation and maintenance
Book a Demo
Smiling business people using digital tablet in modern office
Code of Ethics Management

Build & Manage Your Code of Ethics

Comply’s Intelligent Policy Builder transforms Code of Ethics creation and maintenance into a guided, regulatory-aligned experience.

  • Use a step-by-step guide to create your firm’s Code of Ethics
  • Auto-recommendations based on evolving SEC and FINRA rules
  • Suggested updates pushed directly into the relevant manual sections
  • Built-in best-practice guidance curated by compliance professionals
  • Version control and edit tracking for defensible documentation
  • Simplifies manual reviews, editing, and regulatory response readiness
Book a Demo
intelligent policy builder doc