EMPLOYEE CONFLICTS OF INTEREST

Political Contributions Compliance

FAST AUTOMATED DECISIONS

Pre-Clearance

  • Employees submit pre-clearance requests and receive fast, automated approvals or denials.
  • Define rules for automated cross-referencing of existing data when any pre-clearance request is made—reducing the potential for conflicts to slip between the cracks.
  • Manage lists of individuals or political entities benefiting from any donations made by employees or your organization.
  • Create custom profiles for each employee, apply donation limits to specific user groups, and set review thresholds that apply to users within those groups.

Employee Conflicts of Interest Solutions

Ensure employee personal trading and investments comply with all regulatory requirements and company policies.

Keep compliance teams in-the-know without compromising employees’ trading experience.

Simplify the declaration of employee private investments with outside organizations.

Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery and corruption regulations.

Avoid regulatory compliance breaches arising from employee external business activities.

Safeguard your business from conflicts of interest arising from political alignments or associations among employees worldwide.

Actively manage employee trading in the context of current market activity and news events to protect your company’s reputation.

Solution Benefits

React faster

Daily alerts mean any new contributions reported to the public database get in front of you pronto, with no time spent searching site after site for contributions that put the firm at risk.

Integrate fully

A powerful API lets users integrate political contributions data into existing firm systems, and a built-in workflow ensures the data is easily and completely accessible for casework or audits.

Go live faster

New users are never kept waiting for long. Once your firm is onboarded, you’ll be up and running within days and the risk associated with employee political activity starts going down.

Work smarter

Navigate easily with intuitive UI, filters, and searches. Innovative features, like memo fields that can be saved against records to evidence review means your bases are always covered.

Automatically monitor employee state, local, and federal political contributions and reduce the risk associated with breaking pay-to-play laws.

Related Posts

  • The Challenges of an Election Year: Monitoring Political Contributions in 2024

    Navigating the intricacies of political contributions in the 2024 election cycle poses a challenge for compliance teams trying to mitigate risks.

  • A Patchwork of Regulations: Navigating the Complexities of Political Contributions

    As the US election year heats up, addressing political contributions has come to the forefront of many compliance teams’ minds.

  • Political Contributions, Gifts and Entertainment: How to Take a Proactive Stance Against Bribery and Corruption

    When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E), and political contributions, it can be challenging for compliance…