Watch the videos below to get started on the tool you need for a complete compliance program.
Video Guide
Introduction
Compliance Navigator® is a comprehensive, organized and efficient tool that can also be used by independent CCO users to implement their compliance program. It is continuously updated based on the regulatory environment and the experience of the team of consultants at Hardin Compliance.
Tests
Tests can be customized to your firm and scheduled throughout the year based on your risk tolerance and regulatory requirements.
Certifications
Certifications can be customized and scheduled, like tests, but also enable you to easily communicate with your employees about a variety of topics to meet compliance requirements.
Customization
Allows you to create a compliance program that gives you everything you need, when you need it, and nothing that you don’t.
Record Retention & Reporting
Provides document retention and reporting capabilities for use in drafting your annual compliance report and that allow for reporting to senior management and regulators on your compliance program status.
BasisCode Personal Trading Manager
Compliance Navigator®, powered by BasisCode Compliance, can be utilized alongside the BasisCode Personal Trading Manager to enhance employee code of ethics reporting. The Personal Trading Manager allows clients to establish direct brokerage feeds for reporting employee transactions.
Click here to request more information on the BasisCode Personal Trading Manager.
Thank you for taking the time to watch our Compliance Navigator® videos and be sure to check out all of the services offered by Hardin Compliance. Please contact us with any questions. Call us at 724-935-6770 or send an email to contact@hardincompliance.com so that we can set up a time for one of our consultants to discuss your needs and how we can help. Hardin is always in your corner!