BasisCode Compliance™ for Hedge Funds & Private Fund Advisors

Does your current compliance program leave you at risk to protect MNPI and respond to regulatory inquiry?

Ever-increasing regulatory requirements and market volatility present a challenge for Hedge Fund and Private Fund Advisors. BasisCode Compliance™ makes it easier than ever to implement a compliance program designed to protect access to MNPI and mitigate a firm’s risk. Our compliance 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 creditability.

Improve Workflow with BasisCode Compliance™

Our hedge fund compliance software was created to support Private Fund Advisors by reducing challenging barriers to necessary resources. Eliminate your 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

    With BasisCode Compliance™ Essentials + Personal Trading Manager & Insider Trading Manager, Private Fund advisory firms have an intuitive, end-to-end and always audit-ready compliance solution. It promotes collaboration and transparency and can be tailored to the “right now” compliance needs of any firm, while scaling to handle future challenges.

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

Insider Trading

  • Proprietary detection engine skillfully designed to reduce false positives
  • Integrated case management
  • Integrated news and data sources
  • Automated data feeds

Employee Conflicts & Personal Trading

  • Employee Personal Trade Monitoring
  • Annual Holdings & Quarterly Transactions Certifications

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“Basis Code 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, review and data that we are required to collect and store.”
Toni Gretsky
Brinker Capital
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  • 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

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

Are you prioritizing 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.