BasisCode Compliance LLC (www.basiscode.com) is a leading provider of regulatory compliance and risk management solutions that ensure an audit-ready compliance program. Its software manages the risk lifecycle from identification to resolution enhancing compliance controls and decision-making to safeguard each firm and its clients. The company’s cloud-based software suite is used by nearly 400 organizations globally, including leading compliance consulting firms, for its core compliance functions and its personal trading and insider trading solutions. BasisCode Compliance has a 99% retention rate among its clients with the vast majority reporting strong productivity and efficiency gains after adopting its suite of products. Founded in 2011, BasisCode Compliance is headquartered in Atlanta.
BasisCode Compliance (www.basiscode.com) is a leading provider of regulatory compliance and risk management solutions that ensure an audit-ready compliance program. Its management software manages the risk lifecycle from identification to resolution enhancing compliance controls and decision-making to safeguard each firm and its clients. Trusted by nearly 400 firms for core compliance management functions to personal trading and insider trading, each BasisCode software solution is available as a stand-alone product or offered as part of an integrated package.
Though the company was founded in 2011, the BasisCode management team has worked together almost continuously since 2000 and has decades of experience designing, developing and managing enterprise compliance systems for a broad spectrum of organizations. Its compliance solutions are extremely flexible, user-friendly and scalable, making them applicable to organizations of all sizes. BasisCode solutions save time and resources while helping its clients demonstrate regulatory compliance via its hallmark audit-ready capability.
Founded in 2011 and headquartered in Atlanta
Close to 400 clients
Over 99% client retention rate
Used by over 17 leading compliance consulting firms servicing hundreds of clients
Consultant Marketplace designed for partner firms to showcase their unique services to BasisCode’s broader client base
Most comprehensive Insider Trading software in the marketplace
Unique Governance & Audit Manager designed to streamline and unify some of the industry’s most complex processes
Cloud-based, SaaS model which supports SEC Rule 17(a)-4 Compliance
Fully integrated, rules-based, platform to support firm specific business processes
Open application programming interfaces (APIs) ease data accessibility & software integration points
Senior Management Team
Carlos Guillen, president & chief executive officer
Rick Atkinson, chief technology officer & head of application development
Greg Trotta, vice president, technology delivery
Meredith Goode, finance director
Products and Solutions
BasisCode Compliance Essentials: BasisCode Compliance Essentials is a powerful compliance management software suite that simplifies management of the risk lifecycle from identification to resolution strengthening compliance controls and decision-making to safeguard firms and their clients. This comprehensive set of integrated compliance and risk management tools enables clients to rapidly design, deploy and continuously update controls while streamlining day-to-day management of their compliance program.
Testing & Certifications
Governance & Audit
Gift & Entertainment
BasisCode Compliance Personal Trading Manager: The BasisCode Personal Trading Manager is robust technology designed to automate and streamline Code of Ethics administration and personal trading surveillance. This sophisticated system reduces regulatory risk while increasing the overall efficiency of compliance departments by eliminating labor-intensive and error-prone manual processes.
BasisCode Compliance Insider Trading Manager™: The BasisCode Compliance Insider Trading Manager™ features a highly advanced, proprietary detection engine skillfully designed to increase detection accuracy and reduce false positives. The software’s sophisticated filtering mechanisms reduce the volume of extraneous data, while increasing the accuracy of items that warrant review. The process saves time, reduces risk, and provides for more meaningful analysis and can be applied to trade activity in both firm and employee transactions.
BasisCode for Consultants: This groundbreaking regulatory compliance management system has been designed specifically for compliance consulting firms to optimize the way they deliver their services and add value to their overall working relationships with their clients. Expanding upon its robust compliance and risk management framework, BasisCode for Consultants standardizes service delivery and management of regulatory compliance programs while simultaneously providing consultants the ability to customize services on a client by client basis. It simplifies day-to-day functions and adds transparency to client processes and services resulting in improved profitability. Partner consulting firms also have access to participate in the BasisCode Consultant Marketplace, where they’re able to showcase their unique services to the broader BasisCode Compliance audience.