360-Degree Regulatory Compliance for Financial Services

Establish full visibility into your compliance program and day-to-day compliance tasks.

• Gain immediate insights and actions directly from your dashboard
• Easily export visual analytics, dashboards, and ad-hoc reports
• Document and provide a full audit trail for stakeholders and regulators

Stay on-task and ahead of risk with an all-in-one solution for compliance program management.

• Assess risks and ensure you’re exam ready with an integrated risk assessment tool
• Easily update your firm’s Policies and Procedures to address new rules and changes in regulations
• Manage compliance activities using a bespoke compliance calendar

Empower your employees with an simple, intuitive preclearance request process for trades, outside business activities, gifts and entertainment, digital assets, and more.

• Create custom forms or leverage out-of-the-box preclearance templates
• Standardize and automate workflows and restricted lists
• Deliver an exceptional user experience with 99.9% platform uptime

Manage and monitor your employees’ trade activity to ensure everyone is acting in the best interest of your clients.

• Gain a full view of employee brokerage accounts through the industry’s largest network of direct broker feeds
• Uncover trends through trade activity and reconciliation reports
• Easily address, document, and report violations as they occur

As new policies are created or updated, easily build certifications for employees to attest.

• Understand which employees have outstanding certifications and send follow-ups as needed
• Automatically monitor questions to flag unexpected responses and set up conditional questions to make informed compliance decisions
• Export a full audit trail of all compliance activities

Track firm initiatives alongside employee activities to proactively identify potential conflicts of interest and market abuse.

• Collect and organize information on firm deals, employee meetings, and MNPI access
• Facilitate a request and disclosure workflow for employee wall-crossing
• Seamlessly add deal-related securities to restricted lists

Leverage digital processes and automated distribution to effectively comply with the FCA’s Senior Managers and Certification Regime.

• Assign senior manager functions, log roles, and track responsibilities
• Conduct fitness and propriety assessments, monitor status, and certify senior managers
• Demonstrate firm structure and reporting lines