Our Solution

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
• Documents and Attestations

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.