Employee Level Filing (ELF)
Employee compliance is one of the most burdensome aspects of running a compliance program. Compliance ELF gives you one of a kind flexibility to create an employee compliance portal to handle a wide range of employee compliance issues and ensure compliance with Advisers Act Rule 204A-1.
Features
Personal Trading Monitoring
Ensure that monitoring your employee’s trading activity does not take hours of your precious time by automating the process with brokerage links, electronic pre-clearance, automated trade review and more. Read More
No More Paper Broker Statements!
ELF has electronic links to over 2,800 brokerage institutions to make your life easier. Employees link up to their online broker account once and their trading data starts flowing in to you immediately. Read More
Notifications, Attestations, and Questionnaires
ELF allows your employees to submit gift/entertainment notifications, political contribution notifications, outside activity approvals, disciplinary questionnaires, compliance attestations and much more. Read More
Incredibly Fast and Easy Setup
As a hosted web-based solution, setup and implementation is a breeze. Customization is simple and can be done by compliance users, right from the application. Read More
Comprehensive Reporting
The powerful reporting engine lets you generate trading summary and compliance review reports to help demonstrate a culture of compliance. Getting yourself ready for an audit has never been easier. Read MoreTake The Tour
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FAQs
Have questions about Compliance ELF (Employee Level Filing) that aren't listed below? Contact Us!
Yes, a built-in security master is included as part of Compliance ELF. The master covers U.S. corporate equities, options and bonds as well as a variety of foreign securities from major international exchanges. The data comes from CUSIP Global Services and Six Telekurs and there is no extra charge for use of the security master. Each client can also build and add to their own custom security master in the application.
Yes. We have gone to great lengths to build out an enterprise-class security infrastructure. Compliance ELF’s servers reside at a secure, world-class data center. The facility is designed with true N+1 redundancy, thus at any time, the Compliance ELF servers are connected with multiple power and networking connections to ensure maximum uptime. The facility maintains SAS 70, Type II and CyberTrust certifications. We would be happy to provide you with detailed information about our security and business continuity infrastructure.
No. Compliance ELF is a hosted solution, known as “software as a service.” The benefits to you are that you do not need to spend money on an expensive security and business continuity infrastructure. Best of all, updates to the system are immediate and seamless to you. There is no need for complicated installations and upgrades. Employee implementation, even for large firms is extremely seamless!
Of course! The pre-clearance section allows your employees to submit electronic pre-clearance requests which are then checked against your firm rules and policies. If the request is not auto-denied or approved, a compliance admin, can review the request. After review, an email is automatically sent back to the employee letting them the status. Pre-clearance reports can be easily generated to document all of the submitted requests.
Compliance ELF is affordable for advisers of all shapes and sizes. Contact us and we will provide a custom price quote for you.