Compliance ELF

Compliance ELF

 

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ACA's Compliance ELF (Employee Level Filing) provides an integrated solution for managing your firm’s code of ethics compliance activities related to employee personal securities trading monitoring, attestations, reporting on gifts, political contributions, outside activities, and more. Compliance ELF is available as part of ACA’s ComplianceAlpha® platform or as a standalone solution.


Monitoring employee personal trading activity is a crucial piece of every firm’s compliance program and an area regulators continuously hone in on. In this age of ever-heightened sensitivity to market abuse, firms are advised to tighten up their own surveillance and recordkeeping practices.

 

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FEATURES


 

PERSONAL TRADING & DEAL MONITORING

Ensure that monitoring your employees' 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 6,000 electronic brokerage links globally, Compliance 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.

PRE-CLEARANCE

With one click from the Compliance 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

Compliance 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.

AUTOMATED BROKER FEEDS

Electronic Connections through Envestnet Yodlee 

Compliance 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 6,000 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.

 

Want to learn more about Compliance ELF?

 

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