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Employee Compliance

Regulatory compliance · by Greenboard

Automates personal trading pre-clearance, code of ethics attestations, and outside business activity tracking with best-in-class brokerage feeds powered by direct integrations and AI-powered document processing.

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What it does

Automates personal trading pre-clearance, code of ethics attestations, and outside business activity tracking with best-in-class brokerage feeds powered by direct integrations and AI-powered document processing.

  • SEC and FINRA compliance management
  • Communications archiving and supervision
  • Employee compliance and personal trading monitoring
  • Marketing compliance review and approval
  • Firm compliance with automated workflows
  • Third-party vendor due diligence and oversight
  • Prediction market activity monitoring and disclosure
Category
Regulatory compliance
Users
SEC-registered financial institutions, FINRA-registered financial institutions, Financial advisors, Private funds and 2 more
Public API
Not offered

Not yet disclosed: deployment options, platforms, languages and support channels.

Pricing

Pricing isn't published

Greenboard doesn't list prices publicly. Ask them for a quote.

Security and compliance

As reported by Greenboard. Ask for audit reports before you buy.

  • SOC 2 Type IICompliant
  • WORM / 17a-4 Compliant ArchitectureCompliant
  • 2025 Penetration Test
  • Business Continuity and Disaster Recovery Policy
  • Change Management Policy
  • Change Testing
  • Code of Conduct
  • Cybersecurity Insurance
  • Data Classification Policy
  • Data Retention and Disposal Policy
  • Disposal of Customer Data
  • Encryption in Transit and at Rest
  • Endpoint Security
  • High Availability Configuration
  • Incident Response Plan
  • Incident Response Plan Testing
  • Internal Control Monitoring
  • Network Security Policy
  • Production Data Use is Restricted
  • Risk Assessment
  • Secure Development Policy
  • Segregation of Environments
  • Vendor Due Diligence Review
  • Vendor Risk Management Policy
  • Vulnerability and Patch Management Policy

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