Personal trading compliance
Easily monitor, manage, and mitigate risks from your employees’ outside business interests
Intapp investment banking solutions
Solutions for Investment banks
Additional investment banking solutions
Fortify your firm against the risk of regulatory penalties, fines, and reputational damage by boosting compliance with your code of ethics policies.
Intapp Employee Compliance streamlines the completion and collection of attestations for compliance teams — and makes it faster and easier for your employees to disclose and pre-clear outside business interests like personal investments and political donations.
Simplify personal trading compliance with Intapp Employee Compliance
Streamline code of ethics compliance with a single destination for monitoring, disclosing, and clearing outside business activities.
Protect your firm
Simplify compliance with code of ethics policies and regulations with automated tools and workflows.
Demonstrate compliance
Review, update, complete, and audit required documentation and decisions.
Boost employee confidence
Make ensuring compliance easier for employees with timely approvals aligned to firm policies.
Intapp Employee Compliance
Enforcing compliance with your firm’s code of ethics policies and regulatory requirements — made easy
Automated disclosures
Simplify disclosures of investments, outside business activities, and other material concerns .
Integrated brokerage account data
Save time and reduce errors by connecting brokerage accounts through managed setup and maintenance.
Simplified attestation and document management
Complete required attestation, firm documents, and disclosures in a single location.
Automated trade pre-clearance
Streamline employee requests and approvals of investment activity using your firm’s restricted list.
Access for covered parties
Provide a hub for spouses or financial planners to initiate, track, and receive approval of trade requests.
Personalized reporting
Streamline periodic or ad hoc reports and audits by filtering and configuring data as needed.
Intapp Employee Compliance integrations
Streamline personal trading compliance using direct integrations to thousands of brokerage feeds, as well as by extending personal holdings from Intapp Employee Compliance to Intapp Conflicts.
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