One centralized solution
With Conflicts Compliance, you can automate the monitoring of employee personal trading, gifts and entertainment, outside business activities, and other conflicts of interest disclosures. Furthermore, the solution is uniquely positioned to capture, monitor, and investigate your firm’s trade data to ensure effective compliance of sales practices, suitability of investments, insider trading, and other trade surveillance activities.
Stay compliant and minimize the risk of compliance issues affecting your organization’s reputation, enabling your compliance staff to focus on higher value compliance activities.
Conflicts Compliance – core components
Compliance professionals can be certain of one thing in 2016: it promises to be another unforgiving year. This report examines the state of regulatory reform for 2016
This white paper explores how an organization's spending pattern on compliance officers and compliance departments points to a radical shift in the governance agenda.
Customized online compliance training from Thomson Reuters, designed to fit your organization’s unique needs, and including anti-money laundering, diversity, sensitivity, and HIPAA courses.
Enhanced due diligence processes form part of a best-practice, risk-based approach as well as providing a critical framework during the anti-money laundering and know your customer on-boarding life cycle.