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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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.
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
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.
Readiness Checklist: IA Code of Ethics & Personal Trading Policies
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