Products | Examiner

Examiner

A major concern for today’s compliance officers is the difficulty in monitoring employees’ personal trading activities and identifying conflicts of interest in accordance with best practice and industry regulations. In addition, compliance departments must ensure that employees adhere to the many regulations governing the giving and receiving of gifts and entertainment.

Examiner automates the surveillance process and enables your firm’s compliance department to effectively monitor all aspects of Code of Ethics compliance. Examiner gives compliance departments an efficient process that reduces manual procedures, increases productivity, and provides an effective control for compliance and operational risks.

Key Software Highlights:

• Customizable consolidated dashboard view of insider trading and other codes of ethics risks
• Monitor employee gifts and entertainment with online record keeping, streamlined approval workflows, and efficient reporting
• Monitor and track employee trading _ Import electronic confirms directly into the system
• Various standard and custom certifications available
• Easily integrates with any trade order management system for real-time testing
• Over 1,000 reporting combinations, exportable to Excel®, PDF, HTML, and other formats
• Allows for multi-tiered approval processing
• Global Security Master provided by SIX Telekurs
• Available as an ASP or Enterprise Hosted solution