BasisCode Compliance

About

BasisCode Compliance offers the industry’s broadest set of integrated compliance software to improve compliance management for asset managers, broker dealers, aggregators and compliance consultants. Our intuitive, unified solutions span functionality, from testing and risk assessment to personal trading and attestations to enhance compliance controls and decision-making to safeguard your firm and your clients.

Contacts

Products / Services

Assessment
  • Intuitive display of overall risk inventory
  • Seamless integration with associated tests
  • Generation of actionable risk-weighted metrics
Control
  • Simple setup of distribution groups and sign-off routing
  • Flexible staff certifications, quizzes and testing
  • Robust document management and reporting
Monitoring
  • Scheduled certifications (e.g. COE) and policy management
  • Audit trail of compliance tasks by responsible party
  • Reminder checklists, notifications and activity aging
 

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Each integration enriches the platform with data or features that provide comprehensive service and enhance the customer experience.

Integrations

Integrations: 62
Partnership: 0
Orion Advisor Solutions offers a personalized financial management continuum, including best-in-class advisor technology and investment solutions to help fiduciary-minded advisors...

Partnership

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