BasisCode Compliance™ for Broker Dealers

Does your current compliance program leave you at risk?

Broker Dealers are familiar with the challenges of navigating regulatory compliance. With the landscape of ever-increasing regulatory requirements, implementing a compliance program designed to mitigate a firm’s risk in alignment with best practices can challenge the most experienced teams.

Can compliance software reduce regulatory risk for Broker Dealers?

BasisCode Compliance™ was created to support broker dealers and their compliance efforts by reducing dependence on multiple point solutions and vendors, and manual or disparate home-grown processes that lead to:

  • barriers of adoption
  • lack of transparency and accountability
  • reporting inefficiencies
  • inability to properly respond to regulatory inquiry

Our integrated audit-ready software solutions promote collaboration and transparency and can be tailored to the “right now” compliance needs of any firm, while scaling to handle future challenges.

BasisCode Compliance™ Essentials + Personal Trading Manager provides an end-to-end and always audit-ready compliance solution for broker dealers. Our platform integrates with other systems and automates processes so your team can remain in alignment with best practices and respond to regulatory inquiries with more confidence and credibility.

With a 99% renewal rate, clients continually depend on the BasisCode platform for its seamless integration into ever-evolving compliance requirements

Key Features of an Integrated Audit-Ready System

Compliance & Risk Management

  • Compliance Calendar & Testing
  • Integrated Risk Assessments
  • Audit-Ready Reporting

Employee Conflicts & Personal Trading

  • Employee Personal Trade Monitoring
  • Annual Holdings & Quarterly Transactions Certifications
  • Outside Affiliations, Political Contributions and Gifts & Entertainment
  • Automated New Hire On-Boarding
  • Employee Portal Library
  • Configurable Certifications, Attestations and Form Submissions
    • Advertising & Marketing
    • Annual Compliance Questionnaires
    • Attestations

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"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
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Accessibility: Mobile App

  • Eases the burdens of compliance by increasing accessibility
  • Eliminates barrier to adoption while increasing engagement
  • Increases accuracy of data by enabling real-time reporting
  • Push notifications keep users informed

Firms need to prioritize work-from-home readiness as much as audit-readiness. Accomplish this through a shared, fully integrated technology suite that maintains operational continuity, compliance program management, and is easily accessible working remotely.