Employee Compliance Related Resources | Wolters Kluwer Financial Services OneSumX
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Related Resources

  • Product Sheets

    Employee Compliance US Product Sheet

    OneSumX GRC Employee Compliance - US  

    OneSumX GRC Employee Compliance automates the surveillance process and enables your firm’s Compliance department to effectively monitor all aspects of Code of Ethics compliance. Your

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    Employee Compliance UK Product Sheet

    OneSumX GRC Employee Compliance - UK  

    OneSumX for Employee Compliance provides a structured, comprehensive view of your processes, and helps ensure that your programme is compliant, efficient, transparent and complete.

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    White Papers

    Business specialists from Wolters Kluwer Financial Services regularly produce comprehensive White Papers addressing pertinent business issues and how best to solve them.

    Investment Adviser Registration: Instituting a Code of Ethics and Personal Trading Policies

    Investment Adviser Registration: Instituting a Code of Ethics and Personal Trading Policies Image

    The Investment Advisers Act of 1940 requires each federally registered investment adviser to adopt and maintain a written Code of Ethics. The Code sets forth a standard for business conduct that the investment adviser adheres to and requires of all persons under their supervision. Both advisers new to registration, as well as advisers reviewing their existing policies and procedures should take note of both up to date regulatory requirements and industry best practice when creating a Code of Ethics and adopting policies and procedures designed to monitor personal securities trading.

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    Readiness Checklist: IA Code of Ethics & Personal Trading Policies

    Readiness Checklist: IA Code of Ethics and Personal Trading Policies Image

    This checklist provides a starting point for drafting or evaluating a Code of Ethics program, designing and assessing rules for testing compliance with personal trading parameters set out in the Code, and for evaluating technology solutions to mitigate resource constraints and risk for your compliance program.

    Download your copy here.