Personal trading compliance
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 compliance with code of ethics policies and regulations with automated tools and workflows.
Review, update, complete, and audit required documentation and decisions.
Make ensuring compliance easier for employees with timely approvals aligned to firm policies.
Simplify disclosures of investments, outside business activities, and other material concerns .
Save time and reduce errors by connecting brokerage accounts through managed setup and maintenance.
Complete required attestation, firm documents, and disclosures in a single location.
Streamline employee requests and approvals of investment activity using your firm’s restricted list.
Provide a hub for spouses or financial planners to initiate, track, and receive approval of trade requests.
Streamline periodic or ad hoc reports and audits by filtering and configuring data as needed.
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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.
For more than a decade, Intapp has been bringing the power of automation and intelligence to professional and financial services firms — helping clients like you solve their specialized needs and challenges.
The results of our technology strategy are the industry solutions professionals rely on to close deals, meet compliance, and increase visibility and collaboration.
Our AI solutions, built on Intapp Data Foundation, meet industry-specific data, integration, and security needs to support your professionals.
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Secure your data with Intapp Cloud Infrastructure, leveraging Microsoft Azure’s stability and our dedicated support, plus seamless Microsoft integrations.
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Gain access to Intapp’s ecosystem of data, technology, and services from over 100 trusted partners, with built-in integrations and dedicated support.
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