Compliance

Be Audit-Ready with Powerful Technology

By combining the core data available through Orion with the analytics available through BasisCode and HiddenLevers, we are creating revolutionary new tools for the advisor communities.

Looking for a better approach to mitigating employee conflicts?

There is increasing demand to improve effectiveness of compliance programs, based on SEC regulations and the compliance risks in the advisor work-from-home model.

A Robust Compliance Management System that Increases Productivity

Contact our team of experts to see the latest technology platform that simplifies the often complex compliance process.

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Compliance 101

Facing compounding challenges, CCOs need tools to guide their firms through a rugged, highly scrutinized landscape

Learn how to navigate the increasingly complex regulatory environment to better protect and prepare your firm with Orion’s compliance solutions.

Download White paper

Breakthrough In-House Compliance Technology

 

The BasisCode end-to-end compliance management solution is built upon an always audit-ready reporting infrastructure. The cloud-based software platform provides core compliance functions and personal trading and insider trading solutions for firms with seamless mobile accessibility.

 

Single Sign On

Connect directly to BasisCode through a single sign on in Orion Connect.

Code of Ethics

Robustly administer the firm’s COE program, giving the ability to look at team level and check employee personal trading transactions through secure, automated brokerage feeds relative to the information contained with Orion Eclipse.

Mitigate Employee Conflicts

Effectively mitigate and supervise potential employee conflicts leveraging configurable content and workflows for employee certifications, attestations, outside affiliations, gifts + entertainment, political contributions and more.

Complete Program Management

Empower compliance teams with a complete approach to program management, integrating compliance calendars, testing and risk assessment frameworks alongside code of ethics administration.

Audit-Ready Reporting

Leveraging a fully integrated architecture, easily generate on-the-fly audit-ready reporting extracts access to supporting evidence.

Are You a Broker Dealer Looking for Compliance-Ready Data?

Check out our Exclusive Data Hub Package

Data is the foundation of your firm’s service. The quality of your data affects your ability to run your business efficiently and provide the best outcomes for your clients. Through this package, you’ll get access to our comprehensive data, compliance, and reporting functionality all at one price — to help fuel your operations and scale your business.

Learn More

0136-OAT-1/21/2022

Webinars & Events

Sign up to hear more about Orion and BasisCode’s latest partnership. Check out our on-demand presentations for our upcoming roadmap and integration plans.

Orion + BasisCode: Get Your Firm Audit-Ready with Compliance Technology

Learn about Orion’s new partnership with BasisCode Compliance, LLC., a comprehensive cloud-based compliance software platform for the financial services industry. By combining the core data available through Orion with the analytics available through BasisCode and HiddenLevers, we are creating revolutionary new tools for the advisor community.

Register Now for Orion + BasisCode: Get Your Firm Audit-Ready with Compliance Technology


Ready to Get Started?

Contact us today to hear how this solution can help your firm launch an audit-ready compliance management system!

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Compliance Code: 3 0 4 3, Orion Advisor Solutions, December, 3, 2021