Broker Dealer Compliance Software


Cordium’s platform for Employee Level Filing (ELF) is a powerful tool that creates a comprehensive compliance portal for your employees. Compliance ELF greatly streamlines the compliance process related to personal trading/dealing monitoring, attestations, gift and political contribution reporting and much more.

Why Choose Compliance ELF for Broker Dealer Compliance Management?

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Read on for a preview of Compliance ELF’s main features and benefits.

Personal Trading and Dealing Monitoring Made Easy

With over 3,500 electronic brokerage connections globally, Compliance ELF helps streamline your personal trading surveillance and ensures compliance with advisory and broker dealer rules. Compliance ELF automates the process with brokerage links, electronic pre-clearance, automated trade review and more.

Automated Broker Feeds – No More Paper Statements!

With the most global brokerage connections in the industry, ELF offers maximum coverage in terms of receiving electronic personal trading data. Employees link up to their online broker account once and their trading data starts flowing in immediately.

Streamlined Pre-clearance Process

With one click from their dashboard, employees can submit an electronic pre-trade approval request. Requests are scanned against firm screening lists and rules (auto approvals or auto denials) and if needed they are then routed to the appropriate compliance reviewers.

Powerful Business Rules & Reporting

Trading Rules Reports allow you to easily scan for potential conflicts of interest surrounding employee trading create iphone app activity. Check for front-running, pre-clearance breaches, screening list trades and more with the click of a button. The powerful reporting engine lets you generate trading summary and compliance review reports to help demonstrate a culture of compliance.

Simple & Efficient Employee Compliance

ELF allows your employees to submit gift/entertainment forms, political contribution notifications, outside activity approvals, disciplinary questionnaires and compliance undertakings

About Cordium

Cordium is the leading global provider of regulatory compliance consulting, software and accounting and tax services to the asset management and securities industry. Today, Cordium supports more than 1,500 businesses. Our clients range from start-ups to large firms with well-established track records. This puts us in a unique position to understand a wide variety of compliance training needs

With Cordium, the process of meeting regulatory demands can make a positive contribution in the drive towards business excellence—it’s more than merely fulfilling an obligation. This turns compliance from a ‘have-to-have’ into a ‘must-have business advantage’. Regulatory compliance is changing and we are spearheading the change.

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