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OneSumX for Employee Compliance

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Overview

Automate monitoring and reporting of employee policies, trading, gifts & entertainment and political contribution activities - reduce risk

The Investment Advisers Act of 1940, requires that investment advisers and their employees maintain and adhere to Code of Ethics policies that include strict process controls for monitoring personal trading and gifts & entertainment.

Our proven OneSumX for Employee Compliance solution automates Code of Ethics compliance for monitoring personal trading, gifts & entertainment and political contributions.

With OneSumX for Employee Compliance in place, your firm saves time through reduced manual procedures, increases productivity by freeing up resources, and effectively controls related compliance and operational risks.

Key Features

Over 1,000 reporting combinations to choose from, exportable to Excel®, PDF, HTML, and other formats

Multi-tiered approval processing

Global Security Master provided by SIX Financial Information Available as an ASP or Enterprise Hosted solution

Key Benefits

Streamline Code of Ethics Compliance

  • Monitor and track employee trading and personal account dealings
  • Import electronic broker feeds directly into the systems
  • Monitor employee gifts and entertainment with online record keeping, streamlined approval workflows, and efficient reporting
  • Customize consolidated dashboard views of insider trading and other codes of ethics risks
  • Select from various standard and custom certifications
  • Integrate easily with any trade order management system for real-time testing

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SOLUTION OR SERVICE TYPE
Disclosure Reporting Systems, Market Surveillance Systems, Trade Surveillance Systems, Transaction Reporting Systems
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