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Employee compliance is one of the most burdensome aspects of running a compliance program. Compliance ELF gives you one of a kind flexibility to create an employee compliance portal to handle a wide range of employee compliance issues.
- Personal Trading / Dealing Monitoring
- Over 2,800 automated broker feeds
- Gift and entertainment reporting
- Political Contribution reporting
- Attestations and affirmations
User Suitability (Capital Markets & Investment)
Asset Managers, Asset Managers, Brokers, Brokers, Capital Markets (Trading), Capital Markets (Trading), Wealth Managers, Wealth Managers