Almost every week, high profile cases Code of Ethics' infractions are headline material. That's why compliance officers in the U.S. securities industry must have effective process controls to monitor employee trading as well as governance of gifts & entertainment and political contributions. In fact maintaining a culture of compliance in accordance regulatory requirements such as The Investment Advisers Act of 1940 Rule 204A-1, The Investment Company Act of 1940 Rules 17j-1, and FINRA Rules (NASD) 3050 and 3220, to name a few, is essential to avoid significant penalties and extensive reputational damage.
We have the expertise and proven technology to help your financial organization mitigate risk and resource constraints for US Code of Ethics compliance. Our solution automates monitoring and reporting of employee trading, gifts & entertainment, political contributions and outside activities. Our OneSumX GRC for Employee Compliance solution is relied upon by leading, global financial services firms.