Diligently mitigating all risks related to employee conflicts of interest and material non-public information (MNPI) is a monumental undertaking for even the most experienced compliance professional. The good news? You don’t have to do it alone.
Whether you handle endowments, foundations, pension funds or insurance, you’ve been trusted to ensure all facets of your business are compliant with internal guidelines and financial services regulations. COMPLY helps map your unique employee Code of Ethics policies to preclearance and approval workflows, mitigating risks related to various employee conflicts of interest.
The result? Time savings and effective oversight.
Integrated with more than 300 direct broker feeds and supported by a best-in-class customer success team, COMPLY technology and solutions are designed to give you a 360-degree view of compliance risk within your institution, so you never have to wonder if you’re missing something important.
– CFI Partners Chief Compliance and Chief Technology Officer David Becker
COMPLY automates preclearance and disclosure workflows so your firm can maintain an audit trail of employee activities. Additionally, the ComplySci Platform ingests data directly with some of the largest and most popular broker feeds to improve insider trading analytics including post-trade testing.
Because institutional investors often invest with fund managers, the receipt of gifts could be perceived as an attempt to influence deals. The risk is even greater as gifts to political candidates with influence over state pension funds could be interpreted as pay-to-play violations. COMPLY’s preclearance and disclosure workflow maps your firm’s policy, so gifts which fall outside a designated threshold can be automatically approved, denied or reviewed.
Many institutional investors require their board members or investment personnel to annually certify compliance with the firm’s Code of Ethics policy and training. COMPLY automates this workflow, reminding employees to certify while creating a full audit trail of certification records.
COMPLY offers various solutions for institutional investors to streamline their compliance tasks and efficiently meet the Securities and Exchange Commission’s (SEC) requirements. Learn more about our solutions, including the ComplySci Platform and Control Room.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
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Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.
