Examiner®

Powering Personal Account Dealings Surveillance and Compliance

A major concern for today’s compliance officers is the difficulty of monitoring employees’ personal trading activities in accordance with best practice and industry regulations. In addition, compliance departments must ensure that employees adhere to the many regulations governing the giving and receiving of gifts and entertainment.

Examiner, the industry’s pioneering compliance solution, automates the surveillance process and enables your firm’s compliance department to effectively monitor all aspects of Personal Account Dealings. Examiner gives compliance departments an efficient process that reduces manual procedures, increases productivity, and mitigates regulatory and reputation risks.

• Monitor and track employee trading
• Import electronic confirms directly into the system
• Standard and custom certifications available
• Easily integrates with any trade order management system for real-time testing
• Over 1,000 reporting combinations, which can be exported to Excel®, PDF, HTML, and other formats
• Allows for multi-tiered approval processing

Gifts & Entertainment

• Online Recordkeeping Reporting. The Compliance Department can keep track of monitor all gifts and entertainment received or provided by employees through Web-based employee disclosures 

• Approval Workflow. Examiner will route employees’ gifts and entertainment disclosures to either a compliance officer or another a manager for review on a pre-fact or post-fact basis
• Reporting Gift & Entertainment Tracking. The Compliance Department can run and distribute multiple gifts and entertainment reports to assist in aggregating information across the recipient’s organisation, the provider’s organisation, by departments, or by specific contacts

For more information on Examiner, please call email UKsales@wolterskluwer.com.