Rule 204A-1 of the Investment Adviser’s Act requires firms to implement and maintain a Code of Ethics, which, among other things, requires the supervision of employee personal trades. While straightforward on paper, the process of preclearing, tracking, and verifying your employees’ personal trades and conflicts of interest can be an onerous one…especially if you rely on manual processes.
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.
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).
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.
Never spend your time chasing down employees. Easily and effectively create automated digital certification forms and events tailored to your Code of Ethics.
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.
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.
“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
“Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
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.
