09 · Compliance & Regulatory
Code of Ethics & trade pre-clearance
Platform + expertfrom $850/moExpert ~1–3 hrs/mo
Bottom line
Operate Code of Ethics attestations and trade pre-clearance logs without a full compliance department.
Atlas does the heavy lift; a knowledgeable operator typically spends ~2–6 hours/month.
Invoice / proposal description
- ·COE attestation workflow.
- ·Trade pre-clearance log.
- ·Quarterly compliance summary.
By hand today
Email pre-clearance with no archive.
On Atlas
Workflow + log; CCO reviews exceptions.
Deliverables
- Attestations
- Pre-clearance log
- Quarterly summary
Service levels
- Pre-clearance requests acknowledged ≤1 business day.
Exclusions
- — Personal trade surveillance vendor replacement unless scoped
Platform surfaces
compliance calendardocument workspace
Exam exhibit factory.