Employee Compliance Related Resources | Wolters Kluwer Financial Services OneSumX
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Related Resources

  • Product Sheets

    Employee Compliance US Product Sheet

    OneSumX GRC Employee Compliance - US  

    OneSumX GRC Employee Compliance automates the surveillance process and enables your firm’s Compliance department to effectively monitor all aspects of Code of Ethics compliance. Your

    Download your copy here.

     
    Employee Compliance UK Product Sheet

    OneSumX GRC Employee Compliance - UK  

    OneSumX for Employee Compliance provides a structured, comprehensive view of your processes, and helps ensure that your programme is compliant, efficient, transparent and complete.

    Download your copy here.

     

    White Papers

    Business specialists from Wolters Kluwer Financial Services regularly produce comprehensive White Papers addressing pertinent business issues and how best to solve them.

    Readiness Checklist: IA Code of Ethics & Personal Trading Policies

    Readiness Checklist: IA Code of Ethics and Personal Trading Policies Image

    This checklist provides a starting point for drafting or evaluating a Code of Ethics program, designing and assessing rules for testing compliance with personal trading parameters set out in the Code, and for evaluating technology solutions to mitigate resource constraints and risk for your compliance program.

    Download your copy here.