“As an investment firm, we have a lot of sensitive information about a variety of companies. At all times, we need to have control over and a view into employees’ personal holdings and trading activities.” – Private Investment Firm
A comprehensive compliance program is multi-faceted, addressing a firm’s core risk points based on business activity and operations. In any given day, a compliance professional is likely to find themselves managing the details of the firm’s disclosures, reviewing marketing materials, updating critical compliance reports, and so much more. The answer to managing the daily details? Automation.
Our all-in-one compliance calendar automatically populates with deadlines and requirements tailored to your firm’s policies and procedures. Organize your team, view task updates, identify areas of risk, and document your program throughout the year.
With a guided, digital, and documented annual review solution, you can comply with SEC Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the Company Act, including the recently passed documentation requirement.
Compliance risk and regulatory requirements constantly evolve, placing increased pressure on compliance programs to expect the unexpected, proactively addressing risks before they pose a threat to the firm. Be exam ready when it counts with an easily generated report from COMPLY’s Risk Assessment Tool.
“As an investment firm, we have a lot of sensitive information about a variety of companies. At all times, we need to have control over and a view into employees’ personal holdings and trading activities.” – Private Investment Firm
“We depend on the platform for training and certification now too, and probably use this more than anything else now. We have created more certifications and employees are engaged and educated on what it means to be Code of Ethics compliant.” – Michael Isaac, Stadion Money Management
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Implement and maintain comprehensive compliance program with the support of technology-backed solutions and expert services designed to help you meet whatever new compliance challenge comes next.
Download The Benefits of Direct Brokerage Feeds to discover how 300+ direct broker feeds can aid your compliance team in their efforts to build an effective, accurate program.
