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Policy Management Platforms for Compliance
Systems for developing, distributing, and tracking acknowledgment of compliance policies and procedures across the organization.
Other Compliance
Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.
A comprehensive compliance management platform that helps brokerage firms manage regulatory obligations, monitor trading activities, and streamline reporting processes.
ComplyAdvantage Risk Management Platform
By: ComplyAdvantage
https://complyadvantage.com/risk-management/
By: ComplyAdvantage
https://complyadvantage.com/risk-management/
Offers comprehensive AML (Anti-Money Laundering) screening, transaction monitoring, and risk assessment to help firms remain compliant with regulations.
NICE Actimize Conduct & Compliance Suite
By: NICE Actimize
https://www.niceactimize.com/solution/conduct-and-compliance/
By: NICE Actimize
https://www.niceactimize.com/solution/conduct-and-compliance/
Provides policy management, surveillance, employee personal account dealing (PAD), policy attestation, and conflict of interest monitoring for investment firms and brokerages. Enables automated policy enforcement and real-time alerts.
Digital solution for policy management including policy creation, distribution, acknowledgment, and attestation with audit trails and reporting. Supports automated tracking for brokerages’ regulatory policies.
LogicGate Policy & Procedure Management
By: LogicGate
https://www.logicgate.com/solutions/policy-management/
By: LogicGate
https://www.logicgate.com/solutions/policy-management/
Manage, track, and facilitate attestation of company policies and regulatory documents. Features centralized document repository, automated reviews, notifications, and compliance reporting for brokerages.
Policies & Procedures Management
By: RegEd
https://www.reged.com/solutions/compliance-education/policies-procedures-management/
By: RegEd
https://www.reged.com/solutions/compliance-education/policies-procedures-management/
Comprehensive policy management solution with automated workflows, attestation tracking, version control, and compliance reporting capabilities. Specifically designed for financial services firms to streamline policy management and demonstrate regulatory compliance.