Makes compliance and the firm's current policies / procedures accessible to all staff, enabling them to sign declarations and to view and submit disclosures, benefits and personal trading.
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Policy & Procedure LibraryAccess for all employees to a version controlled policy and procedure library which contains the current published versions of your compliance documents. |
Employee DeclarationsWhen used in conjunction with the Hub's Policies & Declarations service, the Employee Compliance module enables employees to view and electronically sign policy attestations and other declarations that are assigned to them. |
Benefit ApprovalsAllow employees to declare and submit benefits received or given, such as gifts or hospitality requests, for approval and to automatically build the registers needed to evidence compliance. |
Personal DisclosuresEmployees are able to record for compliance any conflicts of interest and other important personal disclosures. |
Personal Account DealingWorkflow based PA dealing capabilities, enabling employees to submit trades for pre-authorisation and to review their past and current personal dealing activity. |