National Compliance Officer Day

Not every business function claims their own “national day,” but September 26th is officially National Compliance Officer Day. The evolution of the compliance profession deserves recognition! Few groups have had to adapt and diversify their expertise over the last 15 years like Compliance Officers.

To acknowledge the expertise and accountability compliance leaders demonstrate, we’d like to extend a special offer to all companies who become new clients.

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Compliance Essentials

See how our powerful integrated compliance platform can transform your business, and learn about our 15% New Client offer.

Why BasisCode?

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.

Hear What Customers Are Saying about BasisCode

“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, reviews and data that we are required to collect and store”

– Toni Gretsky, Brinker Capital

How to Maximize the Benefits of Compliance Technology

By Carlos Guillen, President & CEO

(Originally published in IAA Today, an Investment Adviser Association publication)

It has now been almost 20 years since the first computer software was introduced to help compliance officers automate the many tasks involved in the day-to-day management of a company’s risk and compliance program. Over this time, compliance technology software has become increasingly sophisticated with fully integrated solutions that can track multiple tasks in different functional areas on a common platform optimizing compliance and risk management programs.