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 Employee Compliance solution automates Code of Ethics compliance for monitoring personal trading, gifts & entertainment and political contributions.
With OneSumX GRC in place, your firm saves time through reduced manual procedures, increases productivity by freeing up resources, and effectively controls related compliance and operational risks.
Streamline Code of Ethics Compliance
Additional features include: