What's included
- Code of ethics policy management and reporting
- Associated person trading account review
- Marketing and communications review support
- Firm-wide oversight reporting and documentation
Who it's for
- Firms that already run email archiving, CRM, or trading platforms and want oversight layered on top
- Firms building a code of ethics program for the first time
- Firms consolidating oversight that's currently spread across teams or vendors
Integration, not replacement: whether your firm runs its own surveillance stack, a third-party platform, or nothing yet, our team connects into what's already there — your existing email archive, CRM, or trading systems — rather than asking you to rip and replace it. Modular by design, so oversight fits around your firm, not the other way around.