Code of Ethics, Conflicts of Interest, and Personal Trading

Gain a holistic view into employee risk with the ComplySci Platform. A robust code of ethics compliance monitoring solution for chief compliance officers and compliance teams, our platform drives digital transformation and strategy forward.

• Gain immediate insights into firm activities with COMPLY Widgets – customizable data visualizations on your compliance dashboard
• Establish a digital process around the submission of pre-clearance requests and disclosures
• Build digital certification forms and events
• Export visual analytics, dashboards and ad-hoc reports, and document a full audit trail of employee activity

Implement your firm’s personal securities trading policies and procedures and monitor your employees’ trading activity to prevent and proactively identify potential misuse of material non-public information (MNPI).

• Establish pre-clearance rules that are consistent with your policies
• Gain a full view of account-level detail with intelligent alerts and dashboard access
• Integrate direct broker feeds for easy access to all trade information
• Reveal trends through trade activity and reconciliation reports

The first and only compliance software solution to automatically capture transactions and holdings from employees’ cryptocurrency accounts and wallets and monitor them for alignment with the firm’s Policies and Procedures. ZenLedger brings their best-in-class ingestion engine to the ComplySci Platform, providing real-time accuracy and comprehensive coverage across digital asset types.

• Pre-clear, monitor, verify, and report cryptocurrency trades with the same rules, restrictions, and workflows as any other equities
• Gain comprehensive and automated coverage of all major crypto exchanges and wallets
• Employees disclose crypto accounts and holdings with ease while compliance maintains full visibility into employee transactions, without the need for manual uploads or offline management

Never spend your time chasing down employees. Easily and effectively create automated digital certification forms and events tailored to your Code of Ethics.

• Drive digital engagement with digital certification
• Flag overdue certifications with intuitive dashboards and reports for automated follow up
• Monitor questions, responses and engagement to determine impact

Eliminate offline tracking of potential compliance breaches with Case Management. Easily create, manage, and report on any policy violations and document investigation activities for these identified events.

• Record identified events, such as unmatched trade violations, undisclosed accounts, off-channel communications, or other policy breaches
• Manage investigations and document all related activities
• Automatically build a Violations Log to easily share information internally and externally

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