Proactively help protect your business and your employees with a comprehensive approach to employee monitoring from Compliance Solutions.
Efficiently managing the administration of your firm’s Code of Ethics is a critical component of your employee-monitoring program—it’s something we understand very well as a leading corporation in the financial industry. That’s why we focus on providing you with a robust offering that includes time-saving compliance technology, designated brokerage services, and financial services for employees. It’s all part of Compliance Solutions’ comprehensive approach to helping you build a strong ethical culture and stay on top of employee-monitoring responsibilities.
Offer employees a broad range of financial services, including brokerage and banking solutions, to meet their ongoing needs.
Read up on the latest employee-monitoring topics and trends associated with today’s market.
Video: SEC exams: Myth or fact? Questions about SEC exams? Knowledge is half the battle. Separate the myths from the facts with Michelle Jacko of Core Compliance & Legal Services, Inc.5
Prepare for SEC exams—Checklist Guide your organization with confidence before, during, and after an exam with these steps in it's place.
White paper: Five keys to a more secure data environment Find out what it takes to help keep important client and employee data secure. Use our checklist to help vet the security of your data infrastructure.
Talk with Compliance Solutions about all your options—call 877-362-0410.