Summary
This document is a guide detailing the compliance rules library within the ComplySci Platform. It outlines the various trade and non-trade related rules that can be configured to ensure adherence to a firm's Code of Ethics. The guide presents a comprehensive list of trade rules, including Short Swing, Security Type, Transaction Type, and Industry Type, among others, which help compliance teams manage permissible trading activities. Additionally, it describes non-trade rules that automate processes related to IPOs, private investments, gifts and entertainment, broker accounts, political contributions, marketing materials, and outside business activities. Each rule is designed to streamline compliance reviews, minimize human error, and ensure that employee activities align with regulatory requirements. The document emphasizes the importance of customizing these rules to fit specific compliance policies and procedures, thereby enhancing the efficiency of compliance operations.
