Comply

Establish direct broker feeds.

Set up automated alerts for unusual trading patterns.

Review trade activity and reconciliation reports.

Document and report violations as they occur.

Collect information on firm deals and employee meetings.

Facilitate a request and disclosure workflow for employee wall-crossing.

Add deal-related securities to restricted lists.

Capture communications across email, text messaging (iMessage and WhatsApp), and social media.

Store communications in a WORM-compliant format.

Review communications for compliance violations.

Create custom preclearance forms or use out-of-the-box templates.

Automate workflows and restricted lists.

Deliver an intuitive user experience with high platform uptime.

Build certifications for employees to attest to new policies.

Monitor which employees have outstanding certifications.

Send follow-ups as needed.

Export a full audit trail of all compliance activities.