The CCO juggled being the firm's only compliance professional and general counsel. The challenges he faced manually managing his compliance program included identifying all Code of Ethics violations, demonstrating compliance to regulators, and chasing down employee certifications.
After consulting several peers in the industry, the CCO found that COMPLY could automate the process of monitoring employees for conflicts of interest.
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
Download COMPLY’s CCO Playbook for a look at the past year’s compliance stats and an analysis of ongoing compliance challenges.