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.