Our Solution

Compliance Module

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The Compliance Module is made up of:

  • Gifts and Hospitality
  • PA Dealing
  • Conflicts of Interest
  • Suspicious Activity Reports
  • Suspicious Trading and Order Reports
  • Whistleblowing
  • Incident and Breach Management

All modules include built-in workflows and processes, approval and escalation stages, Axiol Chat, Axiol Notifications and Alerts, Reports and Management Information.

The Compliance Team have access to a dashboard that manages and stores incoming requests and concerns and depending on the user’s seniority, permissions will be granted accordingly e.g., a junior employee is unable to approve a request but can propose a suggested action, to then be reviewed by their senior manager.

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Industry Sectors

  • Brokerages (Wholesale and Retail)
  • Asset managers
  • Hedge funds
  • Proprietary trading firms