My Compliance is the C.O.R.E platform interface for automating and managing your employees’ regulatory obligations. The My Compliance service is designed to:

  • Reduce the manually intensive nature of employee regulations
  • Encourage employees to be transparent in the information they disclose
  • Act as a single portal where employees can easily discover compliance information
  • Electronically respond to compliance instructions (e.g. annual attestation process)


A rigorous security permissions model enforces the necessary access restrictions so that all of the firm’s employees can access My Compliance safe in the knowledge that they can only view the information that they own or information that is publicly available. My Compliance is designed so that employees can manage and access all of the typical activities from the Home Page, using simple one-click navigation.

My Compliance: Features & Benefits

This powerful and flexible service enables compliance teams to construct any number of varied attestation requests and to issue these to all employees or just specific groups.

Key Benefits

  • Automate one of the most time consuming processes for regulated firms.
  • Benefit from increased audit trails which evidence the communication and engagement with the firm’s employees.
  • Provide employees with accurate and up to-date references and links to supporting policies and other compliance related information.
  • Increase employee engagement and reduce risk.

Provide employees, by email, with a simple workflow based personal account pre-clearance confirmation process.

Key Benefits

  • Smart workflows automate the approval and tracking process reducing the manual effort required.
  • Record keeping and audit trails are greatly enhanced.
  • Employee visibility of their personal requests and the approval outcomes is greatly increased.
  • Turns a time-consuming compliance activity into an employee self-service process.
  • Employee trades can be incorporated into an Attestation completing the robustness of this regulatory control.

All gifts and entertainment, whether they require pre-approval or are simply being recorded for transparency reasons, can be quickly and easily recorded by the employee.

Key Benefits

  • Smart workflows automate the approval and tracking process reducing the manual effort required.
  • Record keeping and audit trails are greatly enhanced.
  • Employee visibility of their personal gifts and entertainment requests and the approval outcomes is greatly increased.
  • Requests below the firm’s de-minimus limit are automatically approved.
  • Greatly increases the effectiveness and efficiency of the firm’s compliance testing.
  • Turns a time-consuming compliance activity into an employee self-service process.
  • Employee trades can be incorporated into an Attestation completing the robustness of this regulatory control.

Personal employee disclosures can be used for any confirmed or potential conflict that may exist, inline with the firm’s internal policies and procedures.

Key Benefits

  • Flexible configuration options enable the service to be used to disclose any information inline with the firm’s compliance manual or policies.
  • Smart workflows automate the approval and tracking process reducing the manual effort required.
  • Disclosures can be incorporated into an employee attestation increasing the robustness of the disclosure process.
  • Record keeping and audit trails greatly enhanced.

Provides the employee with an easy-to-access view of all events and activities that have been assigned to them. This could include investigation of an incident, a request to attest they have read a policy, or even a regulatory filing assignment to an employee within the finance department. With one click, employees can view and respond to the activity assigned to them and where necessary attach evidence of any action undertaken.