Maintaining compliance with The Investment Advisers Act of 1940 Rule 204A-1, The Investment Company Act of 1940 Rules 17j-1, and FINRA Rules (NASD) 3050 and 3220, among other regulations, is essential to avoid significant penalties and extensive reputational damage.

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.

Employee compliance benefits at-a-glance

Streamline Code of Ethics compliance

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Integrate easily with any trade order management system for real-time testing

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Customize consolidated dashboard views of insider trading and other codes of ethics risks

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Monitor employee gifts and entertainment with online record keeping, streamlined approval workflows, and efficient reporting

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Monitor and track employee trading and personal account dealings

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Select from various standard and custom certifications

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Import electronic broker feeds directly into the systems

Additional features include:

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

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Multi-tiered approval processing

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

OneSumX Employee Compliance components

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OneSumX for Compliance Program Management
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Streamline Code of Ethics Compliance
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