Code of Ethics Administration
Orical provides a cost-effect, custom code of ethics administration to fit any firm’s compliance program and budget. Our in-house compliance software, REAL World Compliance (“REAL”), provides an automated, firmwide code of ethics monitoring, reviewing, and archiving all on a single platform. Code of ethics administration capabilities include documentation, tracking, review, and downloading of:
- Employee documents, forms, and certifications
- Employee brokerage accounts and statements
- Personal trading activity
- Restricted and watch lists
- Conflicts of interest and outside business activities
- Gifts and political contributions
- Marketing materials and performance information
- Pre-clearance documentation of brokerage accounts, personal trading activity, conflicts of interests and outside business activities, and gifts and political contributions
Our code of ethics administration provides a complete audit trail for SEC exam readiness. Orical’s team provides expert compliance advice and administration of REAL upon request. For more information or to view a demo of our code of ethics administration, contact Orical at info@orical.org or visit the REAL page.