Corporate Compliance

Compliance11 Offers Solutions for Your Corporate Compliance Issues

The nature of corporate compliance has changed with the recent corporate transgressions that have put the needs of the firm's management ahead of employees and customers. Recent legal proceedings at Enron, MCI, HealthSouth, Merrill Lynch, and Citicorp, among others, were partially attributable to the inability of the corporate compliance department to successfully respond to existing corporate compliance issues. The use of corporate compliance software can help eliminate these potential problems.

Compliance11's Supervisory Suite is an on-demand software application designed to help ease the corporate compliance issues that burden your corporate compliance staff. This simple and cost effective corporate compliance software helps personnel closely monitor employee activities and identify issues before they are identified by regulators.

Corporate compliance departments have historically been responsible for drafting and administering policies and procedures. These documents, based on current regulations, became the basis of the ethical and legal conduct at these firms. As a result of the recent corporate transgressions, corporate compliance policies were deemed too lax and as a result, FINRA and the SEC stepped up and implemented the CEO certification of compliance processes and specific mandated disclosures by financial advisors and broker dealers. These new rules also enhanced the role of supervisors to review the actions of their staff including emails and blotters to ensure the crossing of the ethical wall was performed according to firm guidelines. Corporate compliance departments were also mandated to develop technology that could help monitor and review supervisory activities. Thanks to Compliance11's corporate compliance software many of these new activities can be fulfilled more easily.

Simplify your corporate compliance activities with Compliance 11's corporate compliance software. It is a simple and cost effective platform for regulatory compliance personnel and senior corporate compliance management to enter, review and analyze employee data. Compliance11's regulatory compliance software provides valuable time-saving solutions to the ever-changing rigorous requirements of corporate compliance.