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Employee monitoring—Technology:Tools to help protect your business and your employees.

Keeping your business protected is critical, so it’s important to have what you need to handle employee monitoring efficiently and effectively. With Schwab Compliance Technologies®, you get a suite of intelligent solutions that allow you to automate vital tasks and proactively guard against risk, and that makes it easier for employees to comply. It’s technology that goes far beyond standard employee monitoring—ultimately facilitating your business’s growth and success.

Personal Trading

Simplify the process of monitoring employees’ trading activity with powerful technology that gives you access to Schwab Trade Check™,* an innovative feature that helps protect against potential trade violations.

Key benefits:

  • Make it quick and easy for employees to preclear their trade requests with Schwab Trade Check.
  • Monitor for insider trading with a feature that compares trades against outside market events.
  • Customize the technology with trading parameters, like restricted/watch lists, holding periods, excessive trading, and more.
  • Quickly and easily generate reports when you need them.

Personal Trading

Affirmations, Certifications, and Disclosures

Easily and effectively manage the process for employee affirmations, certifications, and disclosures with an intelligent, centralized tool that allows you to set up automatic employee notifications, follow-ups, and reminders—saving you time in the administration of your program.

Key benefits:

  • Efficiently create, distribute, and track employee questionnaires.
  • Quickly get started by accessing a library of preloaded, commonly used compliance forms—and customize them for your business.
  • Make complying easier for employees with automated alerts that remind them about tasks they need to complete.
  • Quickly and easily generate reports when you need them.

Affirmations and Disclosures

Gifts, Entertainment, and Contributions

Simplify the process of submitting, tracking, approving, and affirming gifts, entertainment expenses, and contributions. With Schwab Compliance Technologies, you have a single source for monitoring activity, and your employees have one place to go to disclose information.

Key benefits:

  • Make complying easier for employees by providing them with a centralized hub for entering and attesting to gifts they give and receive.
  • Allow administrators to set giving and receiving limits and monitor employees’ giving and receiving status.
  • Centralize giving and receiving information, making it easier to review and identify any potential issues.
  • Quickly and easily generate reports when you need them.

Gifts, Entertainment, and Contributions


Case Management

Quickly get started and manage the flow and administration of projects and tasks across your organization with one powerful tool. It centralizes information, making it easier to maintain records, stay on top of tasks, track issues, and streamline reporting to efficiently address regulatory inquiries.

Key benefits:

  • Access a library of preloaded, commonly used forms—and customize them for your business.
  • Store employee policies, procedures, and more in a centralized location.
  • Keep all those who are using the tool informed with alerts, tracking features, and an audit trail.
  • Easily track weekly and monthly tasks by creating a personalized calendar of events for each user.
  • Give other departments across your organization the ability to manage and track their tasks.
  • Quickly generate project status reports whenever you need them.

Case Management

Security: SOC2 Type II Report

We know how important it is for you to ensure the protection of your employees’ and clients’ confidential nonpublic information. And it’s a responsibility that’s become even more complex with additional due diligence requirements for third-party service providers. That’s why we’ve recently completed an intensive process to issue a SOC2 Type II report for security—making Schwab Compliance Technologies one of the only employee-monitoring technology providers to achieve this designation.

Security: SOC2 Type II Designation

Infrastructure Security

Stringent security and operations practices have been a focus of ours for years. We take a holistic approach that includes five key categories:

  • Physical safeguards—Data centers (both primary and disaster recovery centers) should be protected against natural disasters, sabotage, and power outages.
  • Network security—Network configurations, encryption, antivirus software, intrusion detection, and regular testing help protect data from cyberattacks.
  • Disaster recovery planning—If a disaster event incapacitates a firm’s primary data center, a secondary center with 100% redundancy can help provide seamless continuity and prevent data loss.
  • Capacity planning and reliability monitoring—Even if firms can handle business needs, it’s important to ensure that no lapses in service, security, or data reliability will occur as the business grows or new functionality is added.
  • Application security—Application security helps ensure your data is protected over the Internet for cloud-based solutions such as employee-monitoring software.

White paper: Five keys to a more secure data environment

Talk with Compliance Solutions about all the options available to your business.