BasisCode Compliance
BasisCode Compliance
Blog Post
  • CenterSquare now uses BasisCode Compliance software for their compliance needs. “The regulatory requirements are only increasing, and a lot of things are being deferred,” he says. “To meet all the requirements and meet them well, it’s not like you can just do your best – you have to do it correctly.” [The full article is published […] The post Private Funds Look to Tech to Tackle Regulatory Burden...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • MEDFORD, Ore. and ATLANTA, February 5, 2018 –Focus 1 Associates LLC (www.focus1associates.com), specializing in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under the Investment Advisers Act, is implementing BasisCode Compliance LLC’s software platform to improve compliance management for its U.S....

BasisCode Compliance
BasisCode Compliance
Blog Post
  • PLYMOUTH MEETING, PA and ATLANTA, January 11, 2018 – CenterSquare Investment Management (www.centersquare.com), a global investment manager focused on actively managed real estate and infrastructure strategies, announced today the implementation of the BasisCode Compliance software platform as its core compliance management system for its global investment staff and clients. CenterSquare, which ha...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • ATLANTA, October 12, 2017 – BasisCode Compliance LLC (www.basiscode.com), a leading provider of regulatory compliance software solutions, is introducing a comprehensive managerial dashboard for compliance consulting firms which allows these fast-growing firms to better monitor and manage the high-level information activity and tasks for their clients and consultant employees. The new consultant da...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • SCOTTSDALE, Ariz. and ATLANTA, September 18, 2017 – Dynamic Wealth Advisors (www.dynamicwealthadvisors.com), an advisory and practice development firm servicing independently-owned advisory practices throughout the U.S., has implemented BasisCode Compliance LLC’s software platform to improve compliance management for its own RIAs and the independent RIAs for whom it provides back office services. ...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • ATLANTA, June 26, 2017 – BasisCode Compliance LLC has been contracted by leading automated financial planning and investment service, Wealthfront, to upgrade the firm’s compliance management program with BasisCode’s software platform. BasisCode ComplianceTM (www.basiscode.com) is the industry’s most comprehensive software that improves compliance management for financial firms, consultants, law fi...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • BasisCode has completed all available OS updates, patches, and other necessary software updates including Antivirus and SQL Server to all environments and employee machines. As we are aware this is an ongoing threat, we will continue to apply additional security related updates as they are released. BasisCode takes security very seriously and we are still monitoring all environments […] The post M...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • BasisCode has been working on the Meltdown / Spectre issue from the moment of the announcement.  In our testing environments, we have applied all OS updates and other necessary software updates including Antivirus and SQL Server.  We have  completed our testing and will be applying these updates to all production environments by January 21st. HP […] The post Protecting Compliance From The Meltdown...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • Managing the Impact of High CCO Turnover in Financial Services Sector By Carlos Guillen In 2016 when search firm Russell  Reynolds  released  its study of the role of the corporate compliance officer in the financial services sector(1), the most alarming finding was that there was a 40% turnover rate among CCOs  over a two-year period. […] The post NSCP Currents: May 2017 Special Reprint appeared ...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • Managing the Impact of High CCO Turnover in Financial Services Sector By Carlos Guillen In 2016 when search firm Russell  Reynolds  released  its study of the role of the corporate compliance officer in the financial services sector(1), the most alarming finding was that there was a 40% turnover rate among CCOs  over a two-year period. […] The post NSCP Currents May 2017 Special Reprint appeared f...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • Cybersecurity is a Priority for the SEC Has your compliance software been tested for cybersecurity vulnerabilities? Really? Prove it. BasisCode can. BasisCode recently spoke about cybersecurity with Michael Brice of BW Cyber Services, a member of the BasisCode Advisory Committee. We discussed cybersecurity and how it affects BasisCode, clients, and the industry.   Today's topic focuses […] The pos...

BasisCode Compliance
BasisCode Compliance
Blog Post
  • Four compliance services are banding together with a compliance software company and a cybersecurity firm to form an advisory council to promote best practices among compliance industry consultants. The BasisCode Advisory Council will provide independent guidance and industry insights that reflect ongoing changes in the regulatory environment, incorporate feedback from member firms’ clients and of...

BasisCode Compliance
BasisCode Compliance
Blog Post

New blog articles detected.

  • BasisCode Launches First Comprehensive Insider Trading Software Solution

    Insider Trading Manager Detects Suspicious Trades by Tracking and Analyzing Trading through Pre-Programmed Filters; Integrates into Compliance Work Flow and Minimizes “False Positives” ATLANTA, October 11, 2016 – The first comprehensive insider trading software, which tracks and analyzes trading in real-time and detects suspicious trades, has been introduced by BasisCode Compliance LLC (www.basisc...

  • Leading Compliance Consulting Firms Join BasisCode Advisory Council

    5 Leading Compliance Consulting Firms Join BasisCode Advisory Council as charter members Alaric Compliance Services Cipperman Compliance Services Hardin Compliance SEC Compliance Consultants BW Cyber Services ATLANTA, January 3, 2017 – BasisCode Compliance LLC (www.basiscode.com), a leading provider of regulatory compliance software solutions, has formed an advisory council of leading compliance c...

  • Two Factor Authentication Enabled Compliance Software

    Securing corporate data continuously evolves in the compliance industry.  Now, people all over the world can access compliance data from several types of devices whether located at work, home, coffee shops and on the road. The traditional log in with a username and password is not always enough. That's why the two factor authentication strategy was created. BasisCode Compliance's two-factor authen...

  • Cipperman Compliance Services Implements BasisCode Compliance Software Platform

    WAYNE, Pa and ATLANTA, November 15, 2016 – Cipperman Compliance Services LLC (www.cipperman.com), a leading provider of regulatory compliance services for investment advisers, registered and private funds, broker-dealers and money managers that collectively manage more than $40 billion in assets, is implementing BasisCode Compliance LLC’s software platform to improve compliance management for its ...

  • http://basiscode.com/news/1931-2/

    New SEC Rules Increase Scrutiny of Outside Compliance Chiefs The new SEC rules underscore the importance of selecting a qualified chief compliance officer. By Carlos Guillen With the Securities and Exchange Commission announcing adoption of Form ADV amendments proposed last year, regulated entities must now report if they outsource their chief compliance officer, and specify […] The post appeared...

BasisCode Compliance
BasisCode Compliance
Blog Post

New blog articles detected.

Out-Market Your Competitors?

Get complete competitive insights on over 2.2 million companies to drive your marketing strategy.

Create Free Account Log in

By signing up, you agree to the Terms of Service and Privacy Policy.

Out-Market Your Competitors

Get complete competitive insights on over 2.2 million companies to drive your marketing strategy.

Create Free Account

Already a user?  Log in

By signing up, you agree to the Terms of Service and Privacy Policy.