Compliance — Code of Ethics
Short answer: Compliance — Code of Ethics keeps your firm’s attestation records.
Compliance — Code of Ethics keeps your firm’s attestation records.
- What’s recorded: Policy / code, Person, Period, Attested on
- Steps: Requested → Attested / Overdue; Overdue → Attested. The database only allows these moves.
- Use + New to add one, click a row to open it, and Export CSV to download. Every change is in the Audit trail.
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Related
- Compliance — Dashboard
- Compliance — AML / KYC / OFAC
- Compliance — Regulatory Filings
- Compliance — Periodic Reviews & Testing
- Compliance — Policies & Attestations