Feature · what this software actually does
Code of ethics & attestations
Tracks personal trading, gifts & entertainment, outside business activities, and political contributions with attestations.
assistedSoftware drafts, a person approves.
Vendors that ship this
Leaders
- Complysci
- Mycomplianceoffice
Adjacent
- Smartria
Build vs buy verdict
buy
Attestation workflows are table stakes — the differentiator is how easily they survive an SEC sweep.
Skills it exercises
Roles that touch it
Where it shows up in the workflow
- Trade & personal-trading surveillancedailyPersonal-trade pre-clearance, restricted-list checks, and post-trade scans all roll up to one analyst queue.
Most relevant for
- HNW
- UHNW
- Family Office
- Institutional / Endowment
Test yourself · topic quizTuned · SEC / FINRA regulatory framing
Multiple-choice — different from any drill above.
Or play and read