Explore the opportunities available to you through WhistleBlower Plus and Certification Pro Services.

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The WhistleBlower Plus Solution

The WhistleBlower Plus application provides clients at the firm wide level an internal solution for reporting, monitoring, and tracking violations.

Now more than ever your company needs to strengthen its compliance and risk management systems to answer changes and restrictions implemented in the Dodd-Frank Act. The Whistleblower provisions of the Dodd-Frank Act provide significantly greater financial incentive for individual employees to seek out and provide the SEC with information that could otherwise be addressed internally.

What WhistleBlower Plus and Certification Pro Provides:

  • An Employee Reporting Tool
  • Comfortable Discretion in Employee Reporting
  • Use of Photograph and Video Evidence
  • Compliance Tracking and Surveillance Analytics
  • Accessible and Auditable database for current and prior submissions and compliance reviews
  • Auditable Evidence and Documentation

The Certification Pro Solution

Firms today need the ability to customize, communicate, and audit new legal and compliance certifications. You can create any kind of certification you desire through our functionality including those with drop downs, limited responses, or a free text field. The ability to communicate new types of policies, handbooks, or procedures is a common compliance need in today’s evolving regulatory landscape.

 

Dodd-Frank News

Compliance
Risk Management
Audit

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