As a way to say thank you and acknowledge the tireless commitment compliance professionals demonstrate day-in and day-out, we’re raffling 5 YETI Ramblers to help you mitigate the risk of cold coffee!
We’ve already had our lucky winners drawn for this year!
* These fields are required.
See how our powerful integrated compliance platform can transform your business, and promote your firm’s audit-readiness.
BasisCode Compliance delivers a fully-integrated suite of compliance and risk management solutions – including a powerful employee conflict management platform which allows you to build your own workflow for form submissions, monitor personal trading, political contribution pre-approvals, outside business activities, gifts & entertainment, and more.
Consultant’s Corner + Marketplace
At BasisCode, we’re committed to enabling our clients’ success through continuous enhancement of our technology, and partnerships with the industry’s top compliance experts.
When the SEC calls your number, can you easily extract and deliver the evidence? Or will there be widespread failures and issues that show up annually?
Audit readiness combines best practices compliance processes and testing, with dedicated resources to ensure a dynamic and perennial compliance program that is able to inform business decisions appropriately.
In this Guide to Audit-Readiness, we offer insights on problems, processes and solutions required for a best practices compliance management program.