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 * Solutions
   
   Employee compliance for the financial services sector
    * Personal and firm trading
    * Cryptocurrency
    * Private investment
    * Material non-public information (MNPI)
    * Certifications and attestations
    * Political contribution
   
   COMPLY Program Management
    * Compliance Calendar
    * Annual Review
    * Reporting and audit trail
    * Restricted list management
    * Deal and activity logging
    * Wall crossing
   
   Data services
    * Data interoperability
    * Ad-hoc data entry
    * Bulk reconciliation
    * Data and mass user cleanup
    * Brokerage statement entry
   
   Managed Services
    * System configuration and customization
    * Processing rules and alert set-up
    * Report creation
    * Data feed setup
    * Change management
   
   See all solutions
   
   Other COMPLY offerings
   Continuing education powered by NRS
   Expert consulting powered by NRS
   Registration and licensing tracking powered by NRS
   Registered investment adviser technology powered by RIA in a Box
   Political contribution monitoring powered by illumis
   Public record search powered by illumis
   Public record monitoring powered by illumis
   
   
 * Who we serve
   
   
   WHO WE SERVE
   
   We are your partner in compliance, with solutions customized to meet the
   unique needs of your industry and your firm. 
   
   Learn more about how the ComplySci Platform can support your compliance
   program as well as the firm-specific modules designed specifically to support
   the unique requirements of your program.
   
   Learn more
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 * Solutions
   Solutions
      
    * Employee compliance for the financial services sector
      Personal trading, cryptocurrency, private investment, MNPI, certifications
      and attestations
    * COMPLY Program Management
      Elevate your compliance program management with an integrated solution
      designed by compliance experts for compliance professionals. 
    * Data services
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      mass user cleanup, brokerage statement entry
    * Managed Services
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      report creation, data feed setup, change management
    * See all solutions
    * Other COMPLY offerings
      Continuing education powered by NRS
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      Registration and licensing tracking powered by NRS
      Registered investment adviser technology powered by RIA in a Box
      Political contribution monitoring powered by illumis
      Public record search powered by illumis
      Public record monitoring powered by illumis

   
 * Who we serve
   Who we serve
      
    * Hedge funds
    * Private markets
    * Private equity
    * Investment advisers
    * Broker-dealers
    * Investment banks
    * Institutional investors
    * Insurance companies
    * UK markets
    * See all

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    * FIRE Solutions


EMPLOYEE COMPLIANCE FOR THE FINANCIAL SERVICES SECTOR

Whether you have 50 employees or 5,000, monitor, verify and mitigate employee
trade risk – from personal trading to cryptocurrency to private investments and
beyond – with precision and accuracy. 

BOOK A DEMO



OUR EMPLOYEE COMPLIANCE SOLUTIONS MITIGATE RISK ASSOCIATED WITH:

PERSONAL TRADING

CRYPTOCURRENCY

PRIVATE INVESTMENT

GIFTS AND ENTERTAINMENT

CONFLICTS OF INTEREST

OUTSIDE BUSINESS AFFILIATION

MANAGING MATERIAL NON-PUBLIC INFORMATION

MARKETING MATERIAL

INSIDER TRADING

POLITICAL CONTRIBUTIONS




A COMPLIANCE COMMAND CENTER FOR TODAY'S WORKFORCE

Gain a holistic view into employee risk with the ComplySci Platform. A robust
compliance monitoring solution for chief compliance officers and compliance
teams, our platform drives digital transformation and strategy forward. 

 * Establish a digital process around the submission of pre-clearance requests
   and disclosures for personal trading, cryptocurrencies, outside business
   affiliations, gifts and entertainment, and more employee activities. 
 * Customize trade rules to align with the firm’s policies and procedures. 
 * Automatically capture trade data with direct broker feeds and digital asset
   trade monitoring to seamlessly monitor and verify employee activity. 
 * Export visual analytics, dashboards and ad-hoc reports, and document a full
   audit trail of employee activity. 
 * Build digital certification forms and events. 

Gain a holistic view into employee risk with the ComplySci Platform. A robust
compliance monitoring solution for chief compliance officers and compliance
teams, our platform drives digital transformation and strategy forward. 

 * Establish a digital process around the submission of pre-clearance requests
   and disclosures for personal trading, cryptocurrencies, outside business
   affiliations, gifts and entertainment, and more employee activities. 
 * Customize trade rules to align with the firm’s policies and procedures. 
 * Automatically capture trade data with direct broker feeds and digital asset
   trade monitoring to seamlessly monitor and verify employee activity. 
 * Export visual analytics, dashboards and ad-hoc reports, and document a full
   audit trail of employee activity. 
 * Build digital certification forms and events. 

Learn more



DIGITAL ASSET TRADE MONITORING

The first and only compliance software solution to automatically capture
transactions and holdings from employees’ cryptocurrency accounts and monitor
them for alignment with the firm’s policies and procedures. ZenLedger brings
their best-in-class ingestion engine to the ComplySci platform, providing
real-time accuracy and comprehensive coverage across digital asset types.

 * Pre-clear, monitor, verify and report cryptocurrency trades with the same
   rules, restrictions and workflows as any other equities.
 * Gain comprehensive and automated coverage of all major crypto exchanges and
   wallets.
 * Employees trade and disclose cryptocurrencies with ease while compliance
   maintains full visibility into employee activities, without the need for
   manual uploads or offline management.

The first and only compliance software solution to automatically capture
transactions and holdings from employees’ cryptocurrency accounts and monitor
them for alignment with the firm’s policies and procedures. ZenLedger brings
their best-in-class ingestion engine to the ComplySci platform, providing
real-time accuracy and comprehensive coverage across digital asset types.

 * Pre-clear, monitor, verify and report cryptocurrency trades with the same
   rules, restrictions and workflows as any other equities.
 * Gain comprehensive and automated coverage of all major crypto exchanges and
   wallets.
 * Employees trade and disclose cryptocurrencies with ease while compliance
   maintains full visibility into employee activities, without the need for
   manual uploads or offline management.

LEARN MORE



TRADE AND ACTIVITY MONITORING

Follow your employees’ trade activity to prevent and proactively identify
potential misuse of material non-public information (MNPI).

 * Gain a full view of account-level detail with intelligent alerts and
   dashboard access. 
 * Integrate direct broker feeds and digital asset trade monitoring for easy
   access to all trade information, from stocks to cryptocurrencies. 
 * Easily set up rules, restrictions and workflows to automatically approve or
   deny requests or flag for further review. 
 * Enable employees to pre-clear or disclose any required activities, such as
   trades, cryptocurrency transactions, gifts and entertainment, political
   contributions, conflicts of interest and more, wherever, whenever with our
   mobile app.
 * Reveal trends through trade activity and reconciliation reports.

Follow your employees’ trade activity to prevent and proactively identify
potential misuse of material non-public information (MNPI).

 * Gain a full view of account-level detail with intelligent alerts and
   dashboard access. 
 * Integrate direct broker feeds and digital asset trade monitoring for easy
   access to all trade information, from stocks to cryptocurrencies. 
 * Easily set up rules, restrictions and workflows to automatically approve or
   deny requests or flag for further review. 
 * Enable employees to pre-clear or disclose any required activities, such as
   trades, cryptocurrency transactions, gifts and entertainment, political
   contributions, conflicts of interest and more, wherever, whenever with our
   mobile app.
 * Reveal trends through trade activity and reconciliation reports.

Learn more



CERTIFICATIONS AND ATTESTATIONS

Never spend your time chasing down employees. Easily and effectively create
automated digital certification forms and events tailored to your Code of
Ethics. 

 * Drive digital engagement with digital certification. 
 * Flag overdue certifications with intuitive dashboards and reports for
   automated follow up.
 * Monitor questions, responses and engagement to determine impact.

Never spend your time chasing down employees. Easily and effectively create
automated digital certification forms and events tailored to your Code of
Ethics. 

 * Drive digital engagement with digital certification. 
 * Flag overdue certifications with intuitive dashboards and reports for
   automated follow up.
 * Monitor questions, responses and engagement to determine impact.

Learn more



COMPLIANCE REPORTING, ARCHIVING AND ANALYTICS

Turn data into insight with ease with intelligent compliance reporting for
internal audits, management meetings and examinations. 

 * Export visual analytics, dashboards and ad-hoc reports to quickly share
   pertinent compliance information. 
 * Document a full audit trail of employee activity and compliance
   communications to comply with books and records requirements.
 * Identify trends and potential gaps within your program to avoid risk.

Turn data into insight with ease with intelligent compliance reporting for
internal audits, management meetings and examinations. 

 * Export visual analytics, dashboards and ad-hoc reports to quickly share
   pertinent compliance information. 
 * Document a full audit trail of employee activity and compliance
   communications to comply with books and records requirements.
 * Identify trends and potential gaps within your program to avoid risk.

Learn more



MONITOR FIRM-WIDE ACTIVITY AND MNPI

Track firm and individual activities to proactively identify potential misuse of
material non-public information (MNPI), uncover potential conflicts of interest
and market abuse, and centralize reporting with ComplySci’s Control Room. 

 * Collect, organize and associate sensitive information on initial public
   offerings (IPOs), mergers, acquisitions and other deals, employee meetings,
   expert networks and access to material non-public information (MNPI). 
 * Quickly identify instances of market abuse or other potential conflicts.
 * Add deal-related securities to restricted lists and flag securities. 
 * Permission and manage wall crossing.

Track firm and individual activities to proactively identify potential misuse of
material non-public information (MNPI), uncover potential conflicts of interest
and market abuse, and centralize reporting with ComplySci’s Control Room. 

 * Collect, organize and associate sensitive information on initial public
   offerings (IPOs), mergers, acquisitions and other deals, employee meetings,
   expert networks and access to material non-public information (MNPI). 
 * Quickly identify instances of market abuse or other potential conflicts.
 * Add deal-related securities to restricted lists and flag securities. 
 * Permission and manage wall crossing.

Learn more



AUTOMATICALLY IDENTIFY INSTANCES OF MARKET ABUSE

Connect disparate data sets to create a holistic view of your compliance data
and easily identify potential conflicts of interest and evaluate risk across an
organization with ComplySci’s Conflict Check.

 * Establish a comprehensive view of risk in real time.
 * Uncover potential conflicts using cross-org compliance data.
 * Build synergies between teams with transparency to better inform decisions
   across the business. 

Connect disparate data sets to create a holistic view of your compliance data
and easily identify potential conflicts of interest and evaluate risk across an
organization with ComplySci’s Conflict Check.

 * Establish a comprehensive view of risk in real time.
 * Uncover potential conflicts using cross-org compliance data.
 * Build synergies between teams with transparency to better inform decisions
   across the business. 

Learn more


ComplySci Spotlight: Monitor and mitigate employee trade risk.



DON'T TAKE OUR WORD FOR IT

"We were trying to solve for one thing and one thing only - ensure we have a
top-of-the-line solution to review employee trading activity. We found ComplySci
had the best price for the tool they provided."

Stadion Money Management Chief Compliance Officer Michael Isaac











COMPLYSCI – A PARTNER AS METICULOUSLY DETAIL-ORIENTED AND DRIVEN AS YOU.







DATA INTEROPERABILITY AND APIS

Powerful integrations and APIs facilitate data connections between ComplySci and
other HR, expense and order management platforms, such as Workday, Concur,
Intapp's DealCloud and ZenLedger. Enhance capabilities with secure integrations
to accommodate black box firm trading algorithms and additional data needs.

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 200 brokerage firms and a robust
data normalization process provide unrivaled information accuracy and
dependability.

DIGITAL ASSET TRADE MONITORING

Comprehensive coverage of all major crypto exchanges and wallets and automated
data capture of transactions and holdings lets employees disclose crypto trades
with ease while compliance has full visibility into and verification of employee
activities.

SUPERIOR USER EXPERIENCE

Our mobile-first approach ensures a frictionless experience for you and your
employees, making compliance easy and painless.

PLATFORM INNOVATION

Incorporating direct feedback from our more than 7,000 clients, we continue to
perfect our solution, implementing the enhancements that matter most to you.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office, receive support when you need it
most from our dedicated subject matter experts.
Ready to talk?



COMPLEMENTARY SOLUTIONS

Looking for more? ComplySci and our fellow COMPLY firms are here to help you
build a compliance solution specifically tailored for where your firm is today
and where you plan to be tomorrow.
Political contribution monitoring Aggregate and verify employee political
contributions and mitigate pay-to-play risk with intelligent political
contribution monitoring powered by illumis.
Consulting Prepare and assess your firm’s readiness with mock audits and
examinations with NRS’ team of highly skilled regulatory experts.
Reputation tracking Guard against risk and upgrade your program with additional
checkpoints, archiving, data management and point solutions with NRS’
ComplianceGuardian.



SUPPORTING DOCUMENTS


ComplySci Platform

Navigate complex regulatory challenges and safeguard your firm’s reputation by
proactively identifying and managing potential risks. The ComplySci Platform is
a comprehensive solution built for monitoring Code of Ethics requirements and
tracking employee activity against rules and regulations.

Navigate complex regulatory challenges and safeguard your firm’s reputation by
proactively identifying and managing potential risks. The ComplySci Platform is
a comprehensive solution built for monitoring Code of Ethics requirements and
tracking employee activity against rules and regulations.

Download the document
Digital Asset Trade Monitoring
Download the document
Certifications and Attestations

ComplySci’s certifications module was designed to meet the needs of firms large
or small, at any sophistication level—from first-time registrants to global
financial institutions. Attestations can be an important tool to help show
regulators that you have a strong compliance program, and that it’s working.

ComplySci’s certifications module was designed to meet the needs of firms large
or small, at any sophistication level—from first-time registrants to global
financial institutions. Attestations can be an important tool to help show
regulators that you have a strong compliance program, and that it’s working.

Download the document
Case Management

ComplySci’s Case Management allows compliance officers to take swift action on
potential compliance issues to uncover all relevant information.

ComplySci’s Case Management allows compliance officers to take swift action on
potential compliance issues to uncover all relevant information.

Download the document
COMPLY Program Management

COMPLY Program Management gives chief compliance officers and other compliance
leader’s full transparency into the department’s activities. Organizing your
day-to-day compliance work, as well as scheduling your regulatory compliance
tasks in one centralized location can help ensure your compliance team meets its
regulatory responsibilities and deadlines.

COMPLY Program Management gives chief compliance officers and other compliance
leader’s full transparency into the department’s activities. Organizing your
day-to-day compliance work, as well as scheduling your regulatory compliance
tasks in one centralized location can help ensure your compliance team meets its
regulatory responsibilities and deadlines.

Download the document
Conflict Check

Compliance officers are managing more information than ever before, from
personal trades, political contributions and outside business affiliations to
insider information, wall crossing requests and restricted lists. Searching for
potential conflicts of interest across these data streams is often manual,
resulting in an incomplete view of an organization’s risk profile.

Compliance officers are managing more information than ever before, from
personal trades, political contributions and outside business affiliations to
insider information, wall crossing requests and restricted lists. Searching for
potential conflicts of interest across these data streams is often manual,
resulting in an incomplete view of an organization’s risk profile.

Download the document
Control Room

ComplySci’s secure, integrated Control Room solution simplifies activity
tracking and conflict checking by logging and associating company activities and
employee activities to proactively identify any potential conflicts of interest
and market abuse. Manage any type of activity or material nonpublic information
(MNPI), such as deals, wall crossing, insider information, meetings, speaking
engagements, communications, trades, G&E disclosures or outside business
affiliations - all within the ComplySci Platform.

ComplySci’s secure, integrated Control Room solution simplifies activity
tracking and conflict checking by logging and associating company activities and
employee activities to proactively identify any potential conflicts of interest
and market abuse. Manage any type of activity or material nonpublic information
(MNPI), such as deals, wall crossing, insider information, meetings, speaking
engagements, communications, trades, G&E disclosures or outside business
affiliations - all within the ComplySci Platform.

Download the document








RELATED READING

View all
Blog Your guide to the SEC’s proposed rule changes for U.S. Treasury market
09/26/22
Blog Employee crypto trade monitoring in 2023 and beyond 12/20/23
Whitepaper Benefits of Direct Brokerage Feeds 10/18/23



FREQUENTLY ASKED QUESTIONS

What SEC and FINRA requirements can ComplySci’s employee trade monitoring
solutions help my compliance team address?

ComplySci's employee trade monitoring can help your team meet the requirements
of numerous SEC and FINRA rules, including:

 * FINRA Rule 3210 (accounts at other broker-dealers and financial institutions)
   * Best supervisory practices require  a firm monitor personal accounts opened
     or established outside of the firm by its registered reps.
   *  FINRA Rule 3210 addresses securities transactions review and
     investigation.
   * The rule helps facilitate effective oversight of the trading activities of
     registered reps of firms.
   * Prior written consent from the employer is required before a registered rep
     may open an account at another firm where trades can be effected.




 * FINRA Rule 3130
   * Each firm is required to identify and designate a chief compliance officer
     (CCO). The firm’s chief executive officer (CEO) must certify annually the
     firm has a process in place to establish, maintain, review, modify and test
     policies and procedures reasonably designed to achieve compliance with
     applicable rules.
   * The CEO must certify the broker-dealer has processes in the annual report
     and the CEO has conducted one or more meetings with the CCO in the
     preceding 12 months to discuss processes. These meetings must include
     meaningful discussions of the firm's compliance efforts and any significant
     compliance problems and plans for emerging business areas.
   * The CCO is expected to have an understanding of a firm's products, services
     and line functions which need to be the subject of written compliance
     policies and written supervisory procedures.




Why do I need financial regulatory compliance software?

Your firm's regulatory compliance program keeps your firm functional, ensuring
you meet regulatory requirements and standards of conduct, mitigating financial,
reputational and regulatory consequences of a compliance violation. 

In fact, financial regulatory compliance software can help you:

 * Automate manual, time-consuming activities, which eat away at your day and
   make it difficult to focus on big-picture priorities. 
 * Determine gaps in your compliance program, which could leave you open to
   risk. 
 * Report on all compliance activities, providing an audit trail for your firm
   and any regulatory body. 
 * Ensure your compliance program is functioning at the optimal level.

Learn more about the benefits offered with a best-in-class software partner. 

How many direct broker feeds does ComplySci provide access to?

ComplySci integrates with more than 330 direct broker feeds.

How often does information sync with direct broker feeds?

Most broker feeds process daily on a T-1 day basis. Information from the
previous trading day is received and processed into ComplySci overnight. We do
have a small amount of weekly feeds. 

Does it track individual and company-wide activity?

Yes. We can track:
For individual activity:

 * Personal accounts, holdings and transactions.

For firm activity: 

 * Firm trades, restricted lists.

Will it be able to identify trades employees do not self-submit?

Yes, trades either processed via the direct broker feeds or entered into the
site manually can prompt unmatched trade communication alerts if the employee
did not preclear the trade in advance. 

Can I self-manage restricted lists securities?

Yes, supervisors and compliance officers can use the UI to add, update and
delete restricted lists. 

Does ComplySci’s employee trade monitoring allow for customized processes and
workflow?

Yes, ComplySci’s trade preclearance rules engine allows firms to automate the
review of requests. The rules in place can be customized according to a firm’s
policies and allows requests to be automatically approved, denied or sent to the
compliance team for further review based on the information submitted into the
request by the employee.  

Can I automate reminders for users regarding needed actions and certification
requirements?

Yes, in the certification setup there are options to set recurring, reminders
and overdue notices. 

How does it help monitor for potential conflicts of interest?

ComplySci's Platform is designed to specifically to check employee trades
against the firm's approved lists to identify potential conflicts of interest.
It enables pre-clearance for things, such as OBA, Expert Networks, PolCon, and
more.

In addition, our Control Room was built to support deal type activities, which
could potentially cause conflicts, such as persons with insider information.  

What formats can I export reports in?

Reports can be exported from the UI in Excel or PDF formats. Scheduled data
exports can also be delivered to a FTP folder in CSV format.  

Does it provide a full audit trail?

Yes, there is a full audit trail within the system that can be sorted, filtered
and exported. 

What types of companywide trends can the employee trade monitoring software help
me identify?

Unlocking the power of your data is critical in spotting trends and addressing
potential issues as they may arise. ComplySci's Platform can help with:

 * Peer analysis reporting: Discover most frequently made trades or employees
   with the highest trade volumes compared to others in the firm. 
 * Trade/request reconciliation reporting: Find employees who have traded
   with/without preclearance approval, as well as employees who frequently
   submit requests and do not execute the trade, indicating they might be
   fishing for information, seeing what can get approved/denied with no
   intention of following through with the request they submitted. 
 * Post-trade testing: Compare employee transactions to holding period
   requirements, restricted trading lists and firm trades. 

How do I get the most out of my financial regulatory compliance software?

Every dollar matters during a period of economic downturn. This makes
prioritizing your spend essential to keeping your financial advisory firm at
peak of performance, investing where appropriate for long-term success while not
over-reaching and potentially overspending. 

 * Work with the right compliance technology partner. 
 * Prioritize your fiduciary education. 
 * Bring in outside help as needed. 
 * Create a culture that prioritizes compliance. 
 * Lean into your *free* resources.

Read more about the economic benefits of a strong compliance software partner.  

What type of customer support is provided?

ComplySci provides our customers with the service and support required to meet
the exacting demands of the regulatory industry, while embodying the attention
to detail you demand of yourself and your team. With 24/5 support and
unparalleled in-house expertise, your program is our priority from the moment
you being the onboarding process. That’s our promise to you.

You can contact ComplySci's Customer Support team at complyscisupport@comply.com
or by calling:

 * US - +1 646 787 9370 
 * UK - +44 (0) 203 608 8320 
 * HK - +852 2319 4213

How long does the onboarding process usually take?

ComplySci's onboarding team will be there with you every step of the way,
working with you to create a plan which addresses your company’s unique needs.
During onboarding the team will load data, configure the system to your use case
and help set up integrations. The team will also provide guided instruction of
broker feed outreach and assist with establishing broker feeds. Onboarding is
concluded with supervisor training and assisting your organization go live with
ComplySci.

Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding
is scoped to meet your company’s unique needs.

How can I schedule a demo?

Complete this form to schedule a full demo and see firsthand what our compliance
solutions can do for you. 




READY TO GET STARTED?

Take control of your compliance program. Manage and mitigate employee trade risk
with a technology partner as dedicated to your compliance program as you are.
BOOK A DEMO
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