Automatic E-Compliance Service
Typical paper-based compliance processes waste valuable resources, are tedious and error-prone, and prevent you from focusing on your job. Patrina's hosted Employee E-Compliance Services streamline the compliance processes and help you efficiently meet your compliance requirements.Employee Disclosure Management
- Web-based Form Creation - Forms are created online through an administrative program.
- Web-based Form Distribution - Notifications are sent to employees by email that they have forms to complete.
- Web-based Form Completion - Notification emails contain a link to a website for the employees to complete the form.
- Web-based Form Review - The review of forms is performed online using a review workflow. Incomplete forms may be returned to the employee with review notes for additional information.
- Online Access - All completed forms are maintained online for future audits, access, and review.
- Secure Access - Security of access is provided through HTTPS, user authentication, and personal identification number assignment.
- Review Flags - Returned forms are flagged for the reviewer if significant differences exist from previous submission, or they contain "red flag" responses.
- Automated Personal Trade Profile Management - Automatically and electronically manage account information for employees and related persons.
- Electronic Trade Confirmation Capture.
- Search/Filter/View/Review Personal Trades.
- Automated Electronic Management of Personal Trade Pre-approvals.
- Configurable Rules for Automated Review - Configure personal trade review rules based on security lists and pre-approvals.
- Automated Reports - Generation of personal trade rule exception reports.
- Built-in Annotation Capability - Annotate trades and mark them as reviewed.
- Flexible Alert Mechanisms and Workflow capability.