Sign up for BasisCode and receive savings ONLY available to TD Ameritrade Clients!

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BasisCode Essentials is the core of a robust compliance and reporting program. Essentials covers testing and certifications, risk assessment, gifts and entertainment, whistleblower, document portal and employee portal.

BasisCode Essentials includes:

• 15% Savings!
• Testing/Calendar – 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.
• Gifts and Entertainment – 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.
• 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.
• FORMS Studio – The application for Forms Studio is virtually limitless. Simple document creation and custom workflow parameters eliminate manual delivery and compilation of forms and results. Delivery receipts, actions, email bounces, etc are automatically recorded and tabulated for quick and easy review.
• 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 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.
• Document Library
• Reporting
• 10 Hours of Training
• Hosting
• Business Continuity and Disaster Recovery
• 24 Hour Support

The Personal Trading Package includes:

• All of BasisCode Essentials ( Save 15% )
• The Personal Trading Manager ( Save 10% ) BasisCode Compliance Personal Trading Manager streamlines management and surveillance of personal trading. The highly sophisticated system  increases the efficiency of your compliance team by eliminating labor-intensive, error-prone manual processes, while at the same time reducing regulatory risk. BasisCode Compliance Personal Trading Manager  accommodates  pre-clearance and post clearance, trade request analysis and employee-managed or direct feed brokerage options.
• Plus, an Extra 5 Hours of Training for a total of 15 Hours.

Sign up for the Insider Trading Package

• All of BasisCode Essentials ( Save 15% )
• The Personal Trading Manager ( Save 10% )
• The Insider Trading Manager ( Save 15% ) – Insider Trading is, perhaps, the most prevalent risk faced by any financial services firm today in terms of reputational damage and even survival. No firm, institution or public company is immune to its potential occurrence and the devastat­ing effects of its regulatory consequences. At the same time, having worked closely with many financial institutions in implementing compliance programs in our core business, BasisCode’s management team knew how time consuming and rudimentary the current insider trading monitoring systems were. We set out to provide an innovative insider trading software solution with a highly advanced proprietary detection engine more powerful than any in the industry.
• Plus, an Extra 5 Hours of Training for a total of 20 Hours!