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

Anti-bribery Compliance

Meet complex and stringent obligations associated with anti-bribery and corruption laws.

Code of Ethics

Maintain a culture of compliance in accordance with numerous regulatory requirements.

Gifts and Entertainment

Automate tracking and monitoring of all gifts and entertainment received or provided by employees using easy to use, web-based disclosures.

Insider Trading

SEC scrutiny remains vigilant in the wake of the Dodd-Frank Act. We help investment adviser firms avoid insider trading cases.

Personal Account Dealing

Use a proven solution that automates personal trading surveillance in order to comply with stringent regulations such as the Investment Advisers Act of 1940.

Political Contributions

Monitor and track political contribution activity via an automated workflow tool for reporting, review and tracking.

Frequently asked questions

  • Q1. What is OneSumX® for Employee Compliance?
    OneSumX® for Employee Compliance supports monitoring and management of employee attestations, policy acknowledgments, disclosures, training, and personal trading obligations.
  • Q2. What employee activities can be tracked?
    The solution tracks conflicts of interest, policy acknowledgments, training completion, and conduct-related disclosures within a single framework.
  • Q3. How does it support governance?
    Structured workflows help institutions apply consistent controls and maintain documentation aligned with governance expectations.
  • Q4. Is it integrated into the CPM platform?
    Yes. Employee Compliance operates as a module within the broader OneSumX® CPM environment.
  • Q5. Who typically uses Employee Compliance?
    Compliance and governance teams responsible for internal oversight and conduct programs use this solution.

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OneSumX for Compliance Program Management

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