ComplianceTrak offers compliance management tools to assist
you in developing and maintaining a comprehensive compliance infrastructure and
to meet regulatory requirements.
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Compliance ELF gives you one of a kind flexibility to create an employee
compliance portal to handle a wide range of employee compliance issues, including personal trading,
gift/entertainment notifications, political contribution notifications, outside activity approvals, disciplinary questionnaires
and compliance attestations. ELF has electronic connections to over 2,800 brokerage connections...the most in the industry!
Handle pre-trade approval and review electronically to ensure compliance with Advisers Act Rule 204A-1 and internal procedures.
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