Solution introduction

Compliance, simplified

Save time, money, and mitigate risk while complying with the SEC Code of Ethics; trading activity, attestations, and disclosures - in one single platform

Trading Supervision
Instantaneous connectivity with 2500+ institutions including transaction history, allows you to automatically flag potential violations across all of your employees accounts, providing a holistic portfolio view and restriction management application.

Track your employees outside business activities, political contributions, and gifts & entertainment with easy to use, configurable templates that allow for reminders, outstanding tasks, and violation management.

Simple, three step process to track all the forms that your employees need to sign, whether they are one-off or recurring attestations for adherence to your firm's code of ethics, social media & trading policies, and new employee onboarding.

Everything you need
All the features your firm needs, whether big or small, to comply with the SEC Code of Ethics.

  • Track all custom firm policies
    Certifications and attestations for things like outside business activities, political contributions, and entertainment are a breeze with our easy to use templates, reminders, and scheduling.
  • SEC and FINRA compliant archiving
    SEC, FINRA, and CFTC compliant storage and archiving under SEC 17a-4(f), FINRA 4511(c), and CFTC 1.31(c)-(d). Data retention and access is available for the full mandated retention period.
  • Bank level security
    Transport Layer Security HTTPS encryption for all exchanges of data between your computer and Glass, and Glass and any third parties used for brokerage integrations and market data. Each firm’s Glass instance has its own dedicated and isolated database and long-term compliant storage container with AES-256 encryption.

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