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
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Automated Brokerage Feeds
Configurable Rules Engine
Pre-Clearance Requests
Post-Trade Surveillance
Exception & Case Management
Certifications & Attestations
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
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
“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, review and data that we are required to collect and store.”
Toni Gretsky, Brinker Capital
