Managing Conflicts of Interest

Employee trading activity is one of the most scrutinized sources of potential conflicts of interest. Comply’s Employee Trade Monitoring solution gives compliance teams real-time visibility into accounts and activity – transforming oversight from reactive to proactive.

• Capture account-level activity with direct broker feeds, covering the accounts where employees actually trade
• Automate preclearance requests with workflows that apply firm rules and restricted lists
• Flag potential violations like insider trading, front-running, and excessive trades with powerful rule-based surveillance mapped to your Code of Ethics
• Document every alert, approval, and investigation in one platform, building an audit trail for regulators

Crypto introduces new risks – but oversight shouldn’t be separate. Comply Digital Asset Trade Monitoring is the first end-to-end solution that lets compliance teams preclear, monitor, and audit employee cryptocurrency transactions within the same platform used for traditional securities.

• Capture trades and holdings automatically major exchanges and wallets
• Preclear crypto transactions with workflows aligned to your firm’s Code of Ethics and policies
• Document all crypto trade activity, creating an audit-ready trail

Certifications and attestations demonstrate that employees, contractors, and sub-advisers understand – and commit to – your firm’s policies. Regulators expect this acknowledgment, and Comply makes it scalable, automated, and defensible.

• Automate distribution and reminders, reducing repeat, manual tasks
• Configure questionnaires and workflows to match your firm’s unique requirements
• Analyze responses to surface outliers, notify supervisors of red flags, and generate audit-ready evidence

When potential violations arise, compliance teams need proof of supervision in action. Comply Case Management centralizes investigations, documentation, and resolution so firms can enforce policies consistently and demonstrate alignment to regulatory expectations.

• Route cases through configurable workflows, ensuring the right reviewers are involved and confidentiality is preserved
• Maintain workpapers, correspondence, and documentation in one place for quicker internal or regulatory responses
• Analyze case data to identify patterns of behavior, escalate issues, and generate reports by category or classification

Visualize your employee trading data and build customized reports with ease to identify trends in compliance activities and share information for internal audits, management meetings, and examinations.

• Gain immediate insights into activities with Comply Widgets – customizable data visualizations on your compliance dashboard
• Personalize your dashboard and access detailed data with just a few clicks
• Export visual analytics, dashboards, and ad-hoc reports to quickly share pertinent compliance information
• Document a full audit trail of employee activity and compliance communications to comply with books and records requirements