Personal trading compliance
Fortify your firm against the risk of regulatory penalties, fines, and reputational damage by boosting compliance with your code of ethics policies.
Intapp Employee Compliance streamlines the completion and collection of attestations for compliance teams — and makes it faster and easier for your employees to disclose and pre-clear outside business interests like personal investments and political donations.
Simplify compliance with code of ethics policies and regulations with automated tools and workflows.
Review, update, complete, and audit required documentation and decisions.
Make ensuring compliance easier for employees with timely approvals aligned to firm policies.
Simplify disclosures of investments, outside business activities, and other material concerns .
Save time and reduce errors by connecting brokerage accounts through managed setup and maintenance.
Complete required attestation, firm documents, and disclosures in a single location.
Streamline employee requests and approvals of investment activity using your firm’s restricted list.
Provide a hub for spouses or financial planners to initiate, track, and receive approval of trade requests.
Streamline periodic or ad hoc reports and audits by filtering and configuring data as needed.
Streamline personal trading compliance using direct integrations to thousands of brokerage feeds, as well as by extending personal holdings from Intapp Employee Compliance to Intapp Conflicts.
Intapp combines AI innovation, industry-leading compliance, and enterprise-grade infrastructure in a single platform trusted by the world’s most demanding firms.
Market-leading ethical walls, confidentiality, and security for highly regulated firms
Transparent AI governance with unified security controls
Complete suite spanning the client and deal lifecycle: one vendor, seamless workflows
Battle-tested by the world’s largest firms with ongoing platform investment
Azure-backed reliability with multi-region redundancy and tested disaster recovery
Pre-built integrations and partner ecosystem reduce IT burden and TCO
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