Our Compliance Employee Level Filing (ELF) platform is a powerful tool that lets you build a comprehensive compliance intranet for your employees. ELF significantly streamlines the compliance process related to personal trading/dealing monitoring, affirmations, gift and political contribution reporting, and much more.
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AUTOMATED BROKER FEEDS
Electronic Connections through Envestnet Yodlee
ELF offers the most electronic brokerage links in the industry and gives you two options for creating connections. By leveraging patented account aggregation technology from Envestnet Yodlee, the world leader in online banking solutions, we offer electronic links to over 4,000 different brokerage institutions globally.
Direct Feeds Setup with Electra Information Systems
Alternatively, for firms looking for a more traditional approach, our partnership with Electra Information Systems provides you with easy access to over 450 direct feeds. Our simple and transparent pricing model allows you to use one or both of the connection methods, giving you a unique and streamlined approach that will change the way that you look at personal trading compliance.
PERSONAL TRADING & DEAL MONITORING
Ensure that monitoring your employee’s trading activity does not take hours of valuable time by automating the process with electronic brokerage links, electronic pre-clearance, automated trade review, and more. With over 4,000 electronic brokerage links globally, ELF helps streamline your personal trading surveillance to create a seamless, easy-to-use employee intranet and ensure compliance with advisory and broker-dealer rules.
With one click from the ELF dashboard, employees can submit an electronic pre-trade approval request. Requests are scanned against firm screening lists and rules and if needed they are then routed to the appropriate compliance reviewers. Once a request is reviewed, an email is automatically sent to the employee with the approval or denial. Detailed comments and documents can be added to a request and date and time stamps are automatically stored.
EMPLOYEE COMPLIANCE FORMS MADE EASY
ELF allows your employees to submit gift and entertainment forms, political contribution notifications, outside activity approvals, disciplinary questionnaires, and compliance undertakings. Your account comes pre-populated with recommended templates, but you can easily create custom forms and templates as well. Forms and affirmations allow for pre-clearance options, emails reminders, and more.
BUSINESS RULES AND REPORTING
Trading rules reports allow you to easily scan for potential conflicts of interest surrounding employee trading activity. Check for front-running, pre-clearance breaches, restricted 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. Smart filters “slice and dice” the data so you can see only what you need.