Almost every week, high profile cases Code of Ethics infractions-including insider trading, are headline material. And the SEC continues to increase scrutiny of unethical trading practices, in the wake of the Dodd-Frank Act.
More than ever, it is essential that financial services firms and their employees maintain and adhere to their Code of Ethics policies. These policies must include strict process controls for monitoring personal trading and procedures for annual review, as required by the Investment Advisers Act of 1940.
OneSumX GRC for Employee Compliance is our proven solution that automates Code of Ethics personal trading surveillance. Leading investment adviser firms rely on Employee Compliance to meet these compliance requirements in the increasingly strict regulatory environment.