COMPLIANCE ELF

Cordium’s platform for Compliance Employee Level Filing (ELF) is a powerful tool that lets you build a comprehensive compliance intranet for your employees. ELF greatly streamlines the compliance process related to personal trading/dealing monitoring, affirmations, gift and political contribution reporting and much more.

AUTOMATED BROKER FEEDS

Electronic Connections through Envestnet Yodlee 

Compliance ELF offers the most electronic brokerage connections in the industry and gives you two options for creating connections. By leveraging patented account aggregation technology from Envestnet Yodlee, the world leader in online banking solutions, we offer electronic linkages to over 4,000 different brokerage institutions globally.

Direct Feeds set up with Electra Information Systems

Alternatively, for firms looking for a more traditional approach, our partnership with Electra Information Systems provides you with easy access to over 450 direct feeds. Our simple and transparent pricing model allows you to use one or both of the connection methods, giving you a unique and streamlined approach that will change the way that you look at personal trading compliance.

PERSONAL TRADING & DEALING 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. With over 4,000 electronic brokerage connections globally, Compliance ELF helps streamline your personal trading surveillance and create a seamless, easy-to-use employee intranet and ensures compliance with advisory and broker dealer rules.

Personal Trading & Dealing Monitoring - Cordium

PRE-CLEARANCE

With one click from their Dashboard, employees can submit an electronic pre-trade approval request. Requests are scanned against firm Screening Lists and rules and if needed they are then routed to the appropriate compliance reviewers. Once a request is reviewed, an email is automatically sent back to the employee with the approval or denial. Like all sections in Compliance ELF, detailed comments and documents can be added to a request and date and time stamps are automatically stored.

Compliance ELF Pre-Clearance - Cordium

EMPLOYEE COMPLIANCE FORMS MADE EASY

ELF allows your employees to submit gift/entertainment forms, political contribution notifications, outside activity approvals, disciplinary questionnaires and compliance undertakings. Your account comes pre-populated with recommended templates, but you can easily create custom forms and templates as well. Forms and affirmations allow for pre-clearance options, emails reminders and more.

BUSINESS RULES AND REPORTING

Trading Rules Reports allow you to easily scan for potential conflicts of interest surrounding employee trading activity. Check for front-running, pre-clearance breaches, Restricted List trades and more with the click of a button. The powerful reporting engine lets you generate trading summary and compliance review reports to help demonstrate a culture of compliance. Smart filters “slice and dice” the data so that you can see only what you need.

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