Employee Compliance 

My Compliance Centre enables employees to comply with FCA regulations and internal compliance policies. 

By providing all employees with access to My Compliance Centre, the relationship between every employee and the compliance function is brought online, with the associated benefit of full transparency as to the status of all tasks and efficiency of communication.  

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Shutterstock Employee Compliance


Create unlimited attestations and deploy to as many employees as you would like at the click of a button. Use full document reviews, or question based attestations in line with your own policy. Review who has completed every attestation in a single screen and configure unlimited reminders to ensure completion.

More about Attestations module here  

Gifts & Entertainment

Allow employees to record all gifts given and received within the system.  Automated approval levels smooth processing and the management of the Gifts and Entertainment register.  

More about Gifts & Entertainment here

Personal Account Dealing (PAD)

Customise your internal PA Dealing process to manage the workflow from pre-trade approval to post -trade confirmation.  Record all employee holdings and build restricted lists.  Maintain full control of all outstanding requests through the real time register. 

More about Personal Account Dealing module here

Conflicts Register

Define your own Conflict types and record and approve all employee conflicts.  Manage the Conflicts register and ensure full transparency across all stakeholders. 

More about Conflicts Register here

Compliance Advice

Streamline the process of supporting colleagues adhoc compliance advice requests. Simply ask them to e-mail [email protected] and process their requests.  Genericise advice given to colleagues and add it to the KnowledgeBase for the benefit of all.  

More about Compliance Advice module here

Take a look at My Compliance Centre

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