Our compliance software solutions take a top down approach to legal and compliance issues surrounding a vast universe of corporate entities today. Legal & Compliance groups are faced with a constantly changing regulatory environment. Legal teams often communicate these changes to compliance personnell responsible for implementing surveillance, risk assessments, and general oversight programs designed to adhere to this changing regulatory environment
H. Boisch Solutions for compliance provides your Legal & Compliance groups with the necessary technology to stay ahead of these regulatory changes. Compliance programs must adapt to changes in regulations while at the same time providing strong evidence of manual and automatic processes for external/internal audit and regulatory authorities. Our solutions aggregate policies, procedures, risk assessments, and surveillance practices under an aggregated umbrella of regulatory authorities and laws while at the same time providing unique analytics for workflows and periodic reviews.
The Dodd-Frank Whistleblower Act
The Dodd-Frank Whistleblower Act and exisitng False Claims act has added a significant legal & compliance risk to your firm. Employees today can bring regulatory and ethics violations to the SEC or CFTC for bounties between 10% to 30% of the fine imposed translating to millions of dollars in fines and reputational risk to your firm.
Our Whistleblower Act tool provides your firm with the technology to combat this increased risk by embracing your employees with a smart and user friendly system. We have designed a solution utilizing the latest in cloud based, smart phone, and database technology giving your legal and compliance teams the transaparancy needed to provide evidence of a culture that encourages employees to report anonymously and without fear of reprisal. Our system allows your employees to anonymously submit violations with evidence directly to your compliance team. Compliance can review and create an anonymous dialogue with the employee allowing for a free flow of anonymous information and evidence. This tool can power your compliance & internal audit teams in ways that have never been possible with the standard legal hotlines and at a fraction of the cost.
Custom Compliance Certifications
Firms today need the ability to customize, communicate, and audit new legal and compliance certifications. You can create any kind of certification you desire through our functionality including those with drop downs, limited responses, or a free text field. The ability to communicate new types of policies, handbooks, or procedures is a common compliance need in today’s evolving regulatory landscape.
Ability to Communicate Policies
The ability to upload new types of policies, handbooks, or procedures is a common need. With Certification Pro you have the ability to create Best Execution policies, Code of Ethics, and Employee Handbooks. Once these documents are uploaded they become accessible to employees of the firm.
Firms today need the ability to customize new legal and compliance certifications. You can create any kind of certification you desire through this functionality including those with drop downs, limited responses, or a free text field. With Certification Pro, certs can be edited or sent out though a click of a button.