MaxComply™ is a multi-function employee compliance tool
Inside one platform, staff can certify, pre-clear, and disclose their:
Personal account dealing
Gifts and entertainment
Outside business interests
Private unlisted investments
SMCR, Code of Conduct, and a library of periodic company certifications and attestations
Promotional materials
Compliance officer controls include:
Streamlined and automated multi-tier workflows applying your firm’s rules for staff preclearance and simplified governance
Global securities and instrument restricted lists for employee personal dealing controls
Fully customisable form templates with built-in intelligent question-sets for smarter compliance
Version controlled process flows for complete and demonstrable audit reports
Built-in document repository for easy-indexing, tracking, and distribution of firm policies and procedures to employees anywhere
Live dashboard views of employee activities for quicker issue-flagging of high priority items
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This document is provided for information purposes only and does not constitute legal, tax, investment, regulatory, accounting or other professional advice. For more information on the legal and regulatory status of IQ-EQ companies please visit www.iqeq.com/legal-and-compliance.