BasisCode Compliance Enterprise

BasisCode Compliance Enterprise is our award-recognized flagship compliance software solution that offers organizations with a more complex or global footprint, the most comprehensive regulatory compliance management software available. This extremely flexible solution streamlines management of daily compliance activities and automates archiving of testing, procedures, evidence, findings, exceptions and resolutions to produce audit-ready output on demand. As in all BasisCode products, BasisCode Compliance Enterprise features our hallmark, audit-ready capability. The system is modular and offers the ability for compliance team members and employees to view only those modules currently in use. Modules includes:

Testing

The Testing module enables officers to create and conduct ad hoc or recurring tests. Procedures, policies  and reviewers are defined and the integrated calendar disseminates tests and notifications to responsible parties for completion.

Certifications

Tailor certifications and staff compliance quizzes with individualized questions, hyperlinks to attachments, dependent questions and control response types. Quizzes tally employee responses and return scores to supervisors, so you can make sure your staff stays compliance savvy.

Risk Assessment

Seamlessly accessed from the BasisCode Dashboard, our compliance Risk Assessment module displays an inventory of your firm’s compliance risk, provides the ability to rank and weight risk factors, archive past assessments and link to the controls (testing, certifications, etc.) that are mitigating identified risks, thus demonstrating an audit-ready business to regulators, senior management, and your Board.

Personal Trading

Customize security types and set up policies to auto-approve, auto-reject or submit trade requests for further review based on your firm’s policies. Integrates with third-party securities databases to ensure the reliability of your reference data. Sends requests for verification of accounts positions.

Gifts & Entertainment (GEM)

Set firm-wide limits and track employee Gift & Entertainment (GEM) disclosures against defined thresholds. Employees can easily check limits and pre-clear activities. Notifications and warnings can be automatically sent to compliance staff and supervisors as exceptions occur.

Forms Studio

Our Forms Studio makes it easy to replace hardcopy documents with a flexible compliance technology tool that lets employees submit forms online, so you can better manage unscheduled or ad-hoc compliance-related events, such as Outside business activity notifications, marketing material approval documents, conflict of interest disclosures, on-boarding materials and sub-adviser due diligence.

Whistleblower

Further evidence that you are engaging employees in maintaining a culture of compliance, our Whistleblower module enables staff to submit anonymous tips of questionable compliance activities. Tips are instantly sent to authorized compliance administrators, and securely archived.

Employee Portal

Leverage the Employee Portal to engage your staff in maintaining a culture of compliance. Web-based access with reminders and alerts helps ensure the timely exchange and tracking of information among employees and other stakeholders. Employees can submit and track personal trading requests; manage personal accounts; enter gift and entertainment disclosures; complete ad-hoc forms and route them for processing; report an incident anonymously to designated officers; and access documents published by the compliance team through the online library.