Independence Compliance

Prevent conflicts of interest, manage independence processes with global regulations, and control financial and relationship risks

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Protect the Firm

Compliance with personal financial and independence regulations is difficult  for global professional services firms. Jurisdictions around the world have different rules pertaining to personal financial relationships such as ownership of stocks, bonds, funds, or other investments, and at the same time partners, managers and teams are working to deliver services and expertise to public and private companies, governments, funds and other institutions. Disparate data, teams working around the country or globe, and complicated and evolving regulations require leading firms to identify and mitigate conflicts of interest while optimizing their service delivery across thousands of clients.  

Safeguard client and employee objectivity and independence. Monitor and prevent conflicts of interest, manage independence, and control financial and relationship risks by quickly piecing together the disparate and missing information from thousands of sources. 

Learn how teams can effectively protect the business with a consolidated view, keeping individuals and companies compliant.

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Data Aggregation and Management 

Integrate and manage data from third-party vendors, employee and HR systems, as well as financial holdings and transactions from hundreds of brokerage and investment firms.

Clearance and Monitoring

Facilitate automated and ad-hoc pre-clearance, approval, and conflict monitoring review and approval based upon geography-specific rules and authorities that can be managed centrally or at the member-firm level.

Inspection and Confirmation

Manage adherence to firm policy through questions and surveys, alerts, audits, confirmations, and inspection of partners and other staff on periodic or recurring basis through streamlined workflow and intuitive user interfaces.

We use Kingland's platform for all personal independence - our people and member firms."

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