Integrated Compliance and Risk Management

The Basis of an Audit-Ready Business

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Optimizing Compliance & Risk Management

Too often compliance teams struggle with use of multiple point solutions, manual and disparate processes to manage their risk and compliance programs.
Used by some of the world's leading financial services, consulting, legal, accounting, fund administrator and broker-dealers BasisCode Compliance delivers a powerful, fully-integrated suite of compliance and risk management solutions, providing your team the agility to respond to regulatory changes, greater transparency, enhanced continuity and secure, audit-ready record keeping.

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User defined, workflow enabled suite of essential enterprise functionality

  • Testing, Certifications & Risk Assessments
  • Gifts & Entertainment and Whistle blower
  • Forms & Workflow Studio
  • Employee & Document Launch Portal

Streamlined management of personal trading across the enterprise

  • Pre & Post Trade Requests and Analysis
  • Configurable rules engine
  • Direct Access & Employee Managed Brokerage feeds
  • Improves oversight and ability to resolve trading issues faster

A new, revolutionary, approach to managing insider trading

  • Detect Suspicious Trading Activities Potentially as a Result of Misuse of NPI
  • Configurable Rules Engine to Reduce False+
  • Integrated Full Coverage News & Data Capture to Support Analysis
  • Available as a Stand-Alone

Maximize the Potential of Your Consulting Partnership

Designed exclusively for consultants to optimize the way you deliver your services

  • Enhance Your Service Offerings to Leverage Technology
  • Improve Staff Performance & Productivity
  • Increase Operational Efficiency and Scalability

Find a consulting partner who values technology as much as you via our Partners in the Consultant Marketplace

  • Access industry experts for the guidance you need
  • Seamlessly implemented and delivered through technology you can count on


 

NSCP Currents Article

"How to Best Work with Compliance Consultants"

Selected as part of the Best of 2019 Edition

NSCP Webinar on "How Best to Work With Compliance Consultants"


 

What customers are saying...

"We got up and running in less than a month without the risk and overhead of …installing software in-house…"

Debbie Powell, HA&W Wealth Management   

"BasisCode Compliance’s flexibility has enabled Northwest Asset Management to centralize our custom compliance program and manage Investment Advisor Representatives regulatory requirements while streamlining workflow. Our recent external audit is evidence of the benefits resulting from having a robust platform…"

Nelly Mubashi, Northwest Asset Management   

"BasisCode Compliance is a great all-around compliance system...As a result of the different modules of the system we have efficiently streamlined all of the Code of Ethics reporting, audits, tests, reviews and data that we are required to collect and store..."

Toni Gretsky, Brinker Capital   

"BasisCode Compliance has been tremendous in helping Balentine effectively manage our compliance program… The BasisCode team is very responsive …I strongly recommend BasisCode Compliance to Senior Managers who want to streamline the workload associated with Regulatory and Risk Management Programs…"

Erica Farber, Balentine   


 

Comprehensive financial compliance management functionality

A paperless platform for capturing all compliance workflow events and documents
Flexible system supports your workflows, procedures and rules
Seamless integration with existing systems
Links evidence to procedures
Archives all information making it easy to extract for regulatory audits
Saves time by automating all tasks and data gathering
Reduces risk exposure and liability