BasisCode Compliance™ Overview

BasisCode Compliance™ is a leading provider of regulatory compliance and risk management solutions dedicated to simplifying the compliance process. Our compliance management software helps manage the risk lifecycle from identification to resolution enhancing compliance controls and decision-making to safeguard your firm and clients. From core compliance management to personal trading and insider trading, each BasisCode software solution is available as a stand-alone product or offered as part of an integrated package.

BasisCode was founded in 2011, yet the management team has worked together almost continuously since 2000 and have decades of experience designing, developing, and managing enterprise compliance systems for a broad spectrum of organizations. Our compliance solutions are extremely flexible, user friendly and scalable, making them applicable to organizations of all sizes. BasisCode solutions save time and resources while helping organizations demonstrate regulatory compliance via our hallmark audit-ready capability.

BasisCode Compliance™ Essentials

BasisCode Compliance™ Essentials is a powerful compliance management software that simplifies management of the risk lifecycle from identification to resolution strengthening compliance controls and decision-making to safeguard firms and their clients. This comprehensive set of integrated compliance and risk management tools enables clients to rapidly design, deploy and continuously update controls while streamlining day-to-day management of their compliance program.

  • Testing, Certifications & Forms Studio
  • Risk Assessments
  • Gift & Entertainment Manager
  • Governance & Audit Campaigns
  • Employee Portal & Document Library


BasisCode Compliance™ Personal Trading Manager

The BasisCode Personal Trading Manager is a robust technology designed to automate and streamline Code of Ethics   administration and personal trading surveillance. This sophisticated system reduces regulatory risk while increasing the overall efficiency of your compliance department by eliminating labor- intensive and error-prone manual processes.


BasisCode Compliance™ Insider Trading Manager

The BasisCode Compliance™ Insider Trading Manager features a highly advanced, proprietary detection engine skillfully designed to increase detection accuracy and reduce false positives. The software’s sophisticated filtering mechanisms reduce the volume of extraneous data, while increasing the accuracy of items that warrant  review. The process saves time, reduces risk, and provides for more meaningful analysis and can be applied to trade activity in both firm and employee transactions.


BasisCode for Consultants

BasisCode for Consultants features our groundbreaking regulatory compliance management system which has been designed specifically for compliance consulting firms to optimize the way they deliver their services and add value to their overall working relationships with their clients. Expanding upon our robust compliance and risk management framework, BasisCode for Consultants standardizes service delivery and management of regulatory compliance programs while simultaneously providing consultants the ability to customize services on a client by client basis. It simplifies day-to-day functions and adds transparency to client processes and services resulting in improved profitability.