Employee Compliance Consulting Solutions

Employing our superior surveillance tools, we can deliver a comprehensive employee compliance and fraud prevention program. Our consultants identify best practices and help configure the core solution functionality to best suit your operational needs. We can help you tackle the growing challenges associated with employee personal trade surveillance and other issues related to codes of ethics, including conflicts of interest that may arise when gifts and entertainment are offered or received.

Employee Compliance Consulting Solutions include:

  • Employee Trading: Assist with Examiner implementation (i.e., which employees are subject to various approvals).
  • Gifts and Entertainment: Develop and assist with parameters to meet regulatory requirements, assist with firm policies and periodic review.
  • Email/Instant Message: Review and escalate to appropriate Designated Supervisor; training for review of Email/Instant Messages.
  • Mandatory Time Away ("MTA"): Designate, review and follow up on employees mandated for MTA.
  • Conflicts of Interest policies and procedures
  • Insider Trading

For more information, call 866.221.0404 or email SCSInfo@wolterskluwer.com.