Employee Conflict &
Personal Trading

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.

This sophisticated system reduces regulatory risk; increases the overall efficiency of compliance departments; and eliminates labor-intensive and error-prone manual processes.

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Automated Brokerage Feeds

Configurable Rules Engine

Pre-Clearance Requests

Post-Trade Surveillance

Exception & Case Management

Certifications & Attestations

Personal Trading Manager

See how our powerful integrated compliance platform can transform your business, support your data security efforts and reduce risk.

Why BasisCode?

Trusted by 400+ Firms Globally

99% Renewal Rate

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.

Employee Conflict & Personal Trading