BasisCode Compliance™ for RIAs

Do you need a better approach to managing your compliance program?

Registered Investment Advisers (RIAs) are familiar with the challenges of navigating regulatory compliance. With the SEC’s requirements being largely principle-based, implementing a compliance program designed to mitigate a firm’s risk in alignment with best practices can challenge the most experienced teams. Respond to regulatory inquiries with more confidence and credibility — BasisCode Compliance™ software and technology solutions provide RIAs with efficient risk management tools.

How can compliance software help to simply processes for RIAs?

For investment firms of any size, there is often a barrier to the resources needed to support compliance efforts. The result is a 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

    BasisCode Compliance™ Essentials + Personal Trading Manager is a robust platform that offers an end-to-end and always audit-ready compliance solution for registered investment advisors. It promotes collaboration and transparency and can be tailored to the “right now” compliance needs of any firm, while scaling to handle future challenges. Our RIA compliance solution easily integrates with other systems, automates processes, ensures regulatory rules are not overlooked, and provides verifiable audit trails.

    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

Employee Conflicts & Personal Trading

  • Employee Personal Trade Monitoring
  • Annual Holdings & Quarterly Transactions Certifications
  • Outside Affiliations, Political Contributions and Gifts & Entertainment
  • Automated New Hire On-Boarding
  • Employee Portal Library

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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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  • 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

Today, firms need to prioritize 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.