{"id":13698,"date":"2025-12-10T22:20:07","date_gmt":"2025-12-10T22:20:07","guid":{"rendered":"https:\/\/www.comply.com\/?post_type=resource_posts&p=13698"},"modified":"2025-12-23T19:58:31","modified_gmt":"2025-12-23T19:58:31","slug":"making-ge-preclearance-simpler-how-comply-is-reducing-friction-in-a-high-volume-high-impact-workflow","status":"publish","type":"resource_posts","link":"https:\/\/www.comply.com\/en-gb\/resource\/making-ge-preclearance-simpler-how-comply-is-reducing-friction-in-a-high-volume-high-impact-workflow\/","title":{"rendered":"Making G&E Preclearance Simpler: How Comply Is Reducing Friction in a High-Volume, High-Impact Workflow"},"content":{"rendered":"

For any firm\u00a0monitoring\u00a0conflicts of interest,\u00a0gifts\u00a0and entertainment\u00a0(G&E)\u00a0is a core\u00a0component.\u00a0You need to know\u00a0who\u2019s\u00a0giving what,\u00a0who\u2019s\u00a0receiving it, and whether such activities are aligned with your firm\u2019s policies. From\u00a0a\u00a0high level,\u00a0it\u2019s\u00a0simple compliance stuff.\u00a0<\/span>\u00a0<\/span><\/p>\n

But like\u00a0many compliance tasks,\u00a0G&E\u00a0preclearance\u00a0can be voluminous for compliance teams and\u00a0downright frustrating\u00a0for employees.\u00a0In the eyes of the employee, it\u2019s easy\u00a0for\u00a0preclearance\u00a0to\u00a0be seen as yet another layer of\u00a0red tape taking time away from\u00a0higher ROI\u00a0activities.<\/span>\u00a0<\/span><\/p>\n

Of course, the compliance officer would dispute that claim. Doing G&E\u00a0wrong\u00a0can be very, very costly.\u00a0Just ask the\u00a0firm\u00a0who\u00a0recently\u00a0received\u00a0a\u00a0<\/span>$10 million FINRA fine<\/span><\/a>\u00a0after\u00a0investigators\u00a0found a pattern of excessive non-cash compensation flowing through\u00a0gifts, meals, and entertainment. At its core, the case\u00a0was about weak controls. Gifts and entertainment\u00a0weren\u2019t\u00a0sufficiently tracked, thresholds\u00a0weren\u2019t\u00a0enforced, and\u00a0the firm\u00a0failed to\u00a0establish\u00a0an adequate supervisory system.\u00a0<\/span>\u00a0<\/span><\/p>\n

Suddenly, the ROI of robust compliance seems much more real.\u00a0Your\u00a0firm\u2019s ability to document, review, and restrict activity\u00a0is a key safeguard against real financial and reputational harm.<\/span>\u00a0<\/span><\/p>\n

<\/span>Preclearance\u00a0isn\u2019t\u00a0always\u00a0easy<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

Nonetheless,\u00a0it\u2019s\u00a0hard not to\u00a0empathize\u00a0with employees when you take off your compliance hat and just look at G&E preclearance forms for what they are.\u00a0For someone not\u00a0closely involved\u00a0with compliance work, these forms can be\u00a0unnecessarily\u00a0dense, cumbersome, and\u00a0unintuitive.\u00a0<\/span>\u00a0<\/span><\/p>\n

Let\u2019s\u00a0say a\u00a0group of employees\u00a0plans\u00a0to take\u00a0some\u00a0key\u00a0clients\u00a0to a football game.\u00a0Which employee is\u00a0submitting\u00a0the\u00a0preclearance\u00a0request?\u00a0One of them? All of them? If the\u00a0former, how easy is it for\u00a0the chosen\u00a0employee\u00a0to\u00a0accurately list the\u00a0<\/span>other\u00a0<\/span><\/i>employees\u00a0in the request?\u00a0And how does the employee accurately break down the cost of the gift\u00a0among the\u00a0clients?\u00a0<\/span>\u00a0<\/span><\/p>\n

What begins as a simple request by an employee trying to do the right thing\u00a0can become a\u00a0headache\u00a0without intuitive forms\u00a0\u2013 and a burden for the compliance\u00a0supervisor\u00a0who will\u00a0inevitably\u00a0be responsible for\u00a0reconciling these questions.\u00a0<\/span>\u00a0<\/span><\/p>\n

<\/span>How Comply is\u00a0optimizing\u00a0G&E workflows<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

This is where Comply comes in.\u00a0<\/span>We\u2019ve\u00a0been\u00a0hard at work\u00a0simplifying G&E\u00a0preclearance in the Comply Platform.\u00a0We know\u00a0it\u2019s\u00a0a high-volume, high-impact area, and have introduced\u00a0a number of\u00a0enhancements to make the process simpler for both employees and supervisors.<\/span>\u00a0<\/span><\/p>\n

<\/span>A flexible \u201cAdditional Employees\u201d field<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

An \u201cAdditional Employees\u201d field\u00a0now appears by default in all G&E templates, and\u00a0you\u00a0can rename or reorder it to match\u00a0your\u00a0internal workflow. Group activities often create ambiguity;\u00a0this change gives\u00a0you\u00a0more control over how those details are captured.\u00a0For example, if two employees are taking a client to a football game, both could be accounted for in a single G&E request by\u00a0utilizing\u00a0this new field.\u00a0<\/span>\u00a0<\/span><\/p>\n

<\/span>Optional single third-party\u00a0selection<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

Some firms want each request\u00a0tied\u00a0to a single recipient. Others need flexibility for multiple recipients. The new toggle lets\u00a0you\u00a0enforce one-recipient submissions when\u00a0appropriate.<\/span>\u00a0<\/span><\/p>\n

<\/span>Simplified value inputs for bulk requests<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

Instead of relying on three linked value fields and automated calculations,\u00a0you\u00a0can opt to use two straightforward manual fields: \u201cTotal\u00a0Value\u201d and \u201cValue\u00a0Per\u00a0Person.\u201d This reduces confusion and gives employees a more straightforward way to enter cost information\u00a0\u2013 helpful in cases with multiple recipients.\u00a0\u00a0<\/span>\u00a0<\/span><\/p>\n

<\/span>Preclearance\u00a0API<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

Beyond the mechanics within G&E forms,\u00a0we\u2019ve\u00a0also\u00a0optimized\u00a0the\u00a0broader\u00a0process with our\u00a0G&E Preclearance API\u00a0\u2013 an\u00a0integration\u00a0that\u00a0allows firms to connect expense systems such as Concur directly to the Comply Platform, creating a bidirectional flow of G&E data. Employees\u00a0submit\u00a0their information in the expense tool they already use, and the request is automatically evaluated against the firm\u2019s G&E rules inside Comply.<\/span>\u00a0<\/span><\/p>\n

This single-entry workflow cuts down on\u00a0duplicative entries,\u00a0removes inconsistencies between systems, and reduces the time compliance teams spend reconciling records. Once a decision is made, the status syncs back to the expense platform, keeping both systems aligned.<\/span>\u00a0<\/span><\/p>\n

<\/span>Bringing clarity to preclearance<\/span><\/b>\u00a0<\/span><\/span><\/h2>\n

These enhancements are part of\u00a0Comply\u2019s\u00a0investment in simplifying\u00a0preclearance\u00a0across the\u00a0Comply Platform.\u00a0The goal\u00a0is\u00a0to\u00a0reduce noise, remove unnecessary complexity, and give both employees and compliance teams a workflow that works the way compliance actually operates.<\/span>\u00a0<\/span><\/p>\n","protected":false},"author":12,"featured_media":11809,"menu_order":0,"template":"","resource_type_tax":[160],"delivery_method_tax":[],"certification_tax":[],"class_list":["post-13698","resource_posts","type-resource_posts","status-publish","has-post-thumbnail","hentry","resource_type_tax-blog-article"],"acf":{"accordion_group":{"show_section":false,"accordion_style":"image","section_subhead":"","section_headline":"","section_text":"","accordion_1_headline":"","accordion":false,"accordion_2_headline":"","accordion_2":false},"resource_description":"","resource_button":"","resource_date":"","include_bdt_time":false,"resource_location":"","is_press_release":false,"form_headline":"","form_id":"","is_paywall":false,"newsletter_type":"global","resource_feed_group":{"show_section":false,"section_headline":"","more_link":"","use_recent_resources":true,"resources":false},"resource_feed_clone":{"resource_feed_group":{"show_section":false,"section_headline":"","more_link":"","use_recent_resources":true,"resources":false}},"gate_this_content":false,"form_embed":"","introduction":"","full_content_":"","new_blue_header":false},"yoast_head":"\nMaking G&E Preclearance Simpler: How Comply Is Reducing Friction in a High-Volume, High-Impact Workflow | Comply<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.comply.com\/en-gb\/resource\/making-ge-preclearance-simpler-how-comply-is-reducing-friction-in-a-high-volume-high-impact-workflow\/\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Making G&E Preclearance Simpler: How Comply Is Reducing Friction in a High-Volume, High-Impact Workflow | Comply\" \/>\n<meta property=\"og:description\" content=\"For any firm\u00a0monitoring\u00a0conflicts of interest,\u00a0gifts\u00a0and entertainment\u00a0(G&E)\u00a0is a core\u00a0component.\u00a0You need to know\u00a0who\u2019s\u00a0giving what,\u00a0who\u2019s\u00a0receiving it, and whether such activities are aligned with your firm\u2019s policies. 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