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BasisCode Compliance Technology News | May 2016
BasisCode Compliance

BasisCode Compliance introduces
industry-first compliance management
software self-subscription service

BasisCode Compliance today introduced the industry's first self-subscription service that makes compliance management software more easily accessible to small to medium-sized enterprises (SMEs). The service helps level the playing field for financial firms and consultants that may not otherwise have the resources to implement a comprehensive automated compliance management platform to reduce regulatory risk. "With BasisCode's self-subscription service, we got up and running in less than a month without the risk and overhead of customizing or installing software in-house," said Debbie Powell, CCO, HA&W Wealth Management.

Technology and Insurance to Play a Role as CCO Liability Debate Intensifies

A new insurance policy called CCO Protect provides CCOs with coverage for non-indemnifiable losses; coverage for alleged fraudulent, dishonest or negligent acts; as well as payment of covered losses when the employer's insurance does not. This new policy even covers escalating legal fees that arise as a CCO defends his or her reputation and personal assets. Andrew Fotopulos, Sr. Vice President of Starkweather & Shepley Insurance, which designed the new policy, says high-quality compliance management software such as BasisCode's is a strong check in the plus column for insurance applicants. [more]

Compliance Tech Tip for Improving
Business Expense Management

In an effort to influence prospects or clients, corporate executives occasionally blur the lines between acceptable forms of persuasion and expense management misconduct. If there's any message executives and compliance supervisors should communicate before employees turn above-board business into bribery, it's: Do yourself a favor, and don't do yourself a favor when wooing business. Click here to learn more.


News & Notes


Conferences & Events

BasisCode Compliance will be sponsoring or exhibiting at these leading conferences:

FINRA Annual
May 23 - 25, 2016 (Washington, DC)

Pershing Insite
June 7-9, 2016 (Orlando, FL)

IA Watch's IA Compliance: The Full 360 View West
June 9-10, 2016 (San Francisco, CA)

3330 Cumberland Blvd, Suite 500, Atlanta Georgia 30339       678-819-1991
© BasisCode Compliance 2016

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