ADVANCED

Compliance ELF

Compliance ELF is a powerful employee compliance portal to handle a wide range of employee supervisory accountabilities.

Cordium’s development team regularly produces new releases for Compliance ELF based on the feedback we receive from our Product Feature Surveys. Below is a summary of the major enhancements we have made to Compliance ELF over the past few months and a preview of what is in store.

    • Enhanced Trading Rules Reporting
      New capabilities include personal trading analysis tools including Trade Rules Reports to track holding period violations and front running

      • The Holdings Period report allows you to quickly evaluate employee transactions as related to customizable Holdings Period rules with modeling capabilities to test against different holdings periods
      • The Front Running report compares employee transactions against firm trade data which can easily be imported from your internal systems.  Transactions that are set against a violation period can be easily changed and split tested.
    • Expanded User Group features
      Larger enterprises can benefit from user group filters that can be applied to all information, including personal trading data, filings and export capabilities
    • Custom security creation
      Stronger administrative access means you can now disable custom security creation by normal users to ensure that erroneous custom securities are not added to your security master

Did you know? Compliance ELF has Single Sign On capabilities and can easily link into your corporate systems for seamless integration and login for your employees.

What’s next? Cordium is currently developing enhancements to improve:

      • Trading rule capabilities – including automated trade rules alerts
      • User activity streams
      • A view that helps you see a summary of an employee’s holistic compliance health.

We are committed to offering best-in-class compliance software with our in-house development team and are constantly striving to ensure that clients get the best experience possible.

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