Solutions and Features
Personal Trading Control Center™
PTCC™ is a web-based system that provides complete Code of Ethics and Personal Trading surveillance and will significantly reduce your operating costs when compared to traditional solutions . It provides all the features you would expect such as pre-clearance, electronic confirms, and back testing - plus features that no other system has such as "risk based" analysis, third party insider trading mapping, and other controls that support the scrutiny requested by the SEC's recent hedge fund sweeps. PTCC™ will let you do much more and pay much less.Learn More >>
An enterprise scaled tool designed to capture and certify institutional contract data across all clients and counterparty agreements including IMAs, Sub Advisory Agreements, Prospectuses, Subscriptions, High Net Worth, Wrap Accounts, ISDAs, Sec Lendings, Side Letters, etc. C-TRAC™ allows stakeholders to access and review all legal obligations 24x7x365 using secure browser based technology.Learn More >>
A searchable and sortable document tool designed specifically for Investment Advisors, Brokers/Dealers and Hedge Funds to better enable them to quickly and efficiently respond to regulatory exams. Our unique Text Capture system and OCR engine allows you to search documents and even image-scans based on the text within.Learn More >>
Visit us at the Compliance Science Booth No. 26 at the National Society of Compliance Professionals (NSCP) National Conference in Washington, DC on Oct 22 – 24 2012 for a live product demonstration.
New Site Launch September 13, 2012
The new design demonstrates the company’s continued commitment to meet the evolving needs of today’s compliance and regulatory market.
“We've quietly built a strong brand over the past 9 years and we now work with hundreds of firms around the world - while our reputation and value proposition became well known through word of mouth in the CCO community we wanted to do more to highlight the brand on a visual and aesthetic level” said Mitchel Kraskin, CEO. Kraskin went on to say that "CSI and its founders are pioneers in the Governance and Regulatory Compliance vertical having deployed the first commercial solutions for Personal Trading Surveillance, Legal/Compliance CRM and Archiving over a decade ago.
The new site will enable members of our community, our future clients and channel partners to learn about us, our products, and our team. They will ultimately see the long term commitment we've made to building and supporting the top product suite in the industry."
“PTCC is ideal for preclearance, reporting and monitoring of our employees’ personal trading activity…”
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PTCC is ideal for preclearance, reporting and monitoring of our employees’ personal trading activity and other code of ethics obligations. The system’s flexibility also allows us to use PTCC for reporting and certifications outside of our code of ethics requirements. The CSI team is knowledgeable, professional, and highly responsive. I would strongly recommend Compliance Science to others in the industry.
CCO of 550 access person Investment Advisory, Broker Dealer Firm
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Investment Advisors -
OCIE Exams • PERSONAL TRADING • Mock Audits • GIPS Audit • Annual Compliance Review • Form ADV Part I & II • SAS 70 • Business Continuity Plan • Regulatory Correspondence • Code of Ethics • FOIA Exempt Documents • Privileged Communications • Client Complaints • Marketing Materials • Policies and Procedures • Board Minutes • No Action Letters
Broker Dealers -
NASD & NYSE Exam requests • Annual OSJ Audit • Arbitrations • Best Execution • Branch Office Audits • Business Continuity Plan • Compliance or Supervisory Bulletins or Memos • Customer Complaints • Deficiency Letters • Form BD • Licensing • Web CRD Administration • Regulatory Correspondence • 3012/3013 Certifications
Hedge Funds -
Subscription Agreements • Redemption Request Forms • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • Side Letters • Soft Dollars • Proxy Voting • Disclosure Documents • Fund Documents • ISDA Agreements • Prime Broker Agreements • Service Provider Agreements
Investment Companies -
38a-1 Oversight • PERSONAL TRADING • Disaster Recovery Plan • Conflicts of Interest • Code of Ethics • SAI • Board Minutes • Proxy Voting • Disclosure Documents • Fund Documents • Prospectus • Service Provider Oversight • Employee Manual
Is Your Firm Impacted by
Recent landmark dates make a review necessary for Investment Advisers.
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Avoid Insider Trading Problems by Monitoring Your Employees Personal Trading Activities.
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