BasisCode Compliance™ Personal Trading Manager

Is your approach to managing employee conflict of interest and Code of Ethics administration exposing you to risk?

The BasisCode Compliance™ Essentials & Personal Trading Manager offers a powerful technology suite that automates and streamlines employee conflict of interest management, Code of Ethics administration and personal trading surveillance. Our sophisticated platform and compliance technology integrates with other systems, reduces regulatory risk, increases the overall efficiency of compliance departments, and eliminates labor-intensive and error-prone manual processes. 

With a 99% renewal rate, the BasisCode Compliance platform is selected for its innovative features to maintain and manage the daily challenges of an effective compliance program.

Key Features of an Integrated Audit-Ready System

Automated Brokerage Feeds

  • Securely automate the collection of trading data with third-party brokerage feeds
  • Tap into our expansive network of institutions to strengthen the reliability of reference data

Configurable Rules Engine

  • Automate the enforcement of Code of Ethics policies 
  • Design rules which analyze and approve, deny or escalate pre-clearance requests
  • Analyze requests against trade characteristics, employee attributes and watchlist/restricted lists

Pre-Clearance Requests

  • Provide employees a secure and easy-to-use web-based or mobile app interface to submit personal trading request
  • Automatically pass or fail trades based on company policies and deliver outcome back to the employee

Post-Trade Surveillance

  • Monitor after-the-fact trading activities against firm-wide rules to spot exceptions
  • Supplement post trading surveillance rules by cross referencing external data sources (client trades) via ad-hoc or recurring data imports/feeds

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Automated Brokerage Feeds

Configurable Rules Engine

Pre-Clearance Requests

Post-Trade Surveillance

Exception & Case Management

Certifications & Attestations

Exception and Case Management

  • Efficiently analyze pre- and post-trading exceptions with complete in-case details
  • Evidence complete review, from discovery to decision, from a single dashboard
  • Audit-ready platform allows evidence to remain integrated and readily available as part of the hallmark reporting capabilities 

Certifications & Attestations

  • Easily automate the design, delivery and review of required attestations, quarterly transactions and annual holdings reports