Manage Risk. Not Paper.
Improve supervision and reduce costs in days with Compliance11's on-demand service.
Improve supervision and reduce costs in days with Compliance11's on-demand service.
Save time and money. Protect your firm against employee trading conflicts.
Automatically approve trade pre-clearances
Maintain restricted lists and watch lists
Receive brokerage statements electronically
Automatically review brokerage statements
Monitor for front running
Learn more about
Personal Trading Compliance Software
Stop chasing down paper forms or emails. Quickly identify and mitigate potential risks with our compliance software.
Affirm employees have read company policies
Collect employee disclosures like outside business activities
Route disclosures for review
Track delinquent employees
Search disclosures for potential conflicts
Learn more about
Affirmations & Disclosures Software
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Our Compliance Software demonstrates that gift type transactions reasonably fit within the parameters of your policies and procedures.
Track gifts, entertainment, political contributions, etc
Set limits by employee group
Route exceptions for review
View total gifts by individual or company
Consolidate duplicate entities
Learn more about
Gifts & Entertainment Compliance Software
Replace Excel with a powerful collaboration tool. Increase the visibility of critical issues. Track process efficiency with Compliance11's Compliance Software
Track trade errors, customer complaints, etc
Assign owners, set due dates and priorities
Attach documentation
Capture a complete audit trail
Learn more about
Case Management Compliance Software
"We use the entire compliance software solutions suite offered by Compliance 11. Our registered representatives are both geographically diverse and frequently travel. The Compliance 11 platform provides tremendous flexibility and convenience to automate much of our compliance program and allow effective compliance communications between staff in the field and the home office. Larry Goldfarb and his team are top notch professionals and have always responded to our issues in a timely and thorough manner. We hope to utilize the Compliance 11 program for many years to come."
Carrie Wisniewski
President
Bridge Capital Associates, Inc.
"Our Board of Directors and senior management ask from time to time whether recent firm-wide cost reductions have impaired the ability of the Compliance Department to ensure appropriate internal controls are in place. I explain to them that I have taken a number of steps to mitigate the situation. One example I point to is our increased reliance on systems solutions and technological tools, including our implementation of Compliance11 to automate personal trading, affirmations and disclosures and general supervision. The products allow us to focus on our critical surveillance and advisory issues, improve our overall clerical process and our ability to respond to client needs while reducing our compliance spend."
Mark A. Egert
Chief Compliance Officer
Cowen and Company, LLC
"The Compliance Team at ThinkEquity has been very happy to partner with Compliance11 in the development of its Compliance Software offerings. Rarely have we partnered with a vendor who has such a strong understanding of the ethical imperatives of our business. Because of their web-based tools, we have reduced the hours necessary each day to review employee personal activities, streamlined our various employee attestations and have rolled out other processes that help the firm. The result - no new hires! But best of all, the Compliance11 team is very responsive, provides outstanding customer service and is always ready to hear suggestions. It's almost like having a development team of your very own!"
Harriet Britt
Chief Compliance Officer
ThinkEquity