Gift & Entertainment Intake Live
One branching conversation for give/receive and gift/entertainment/both, replacing 4 separate legacy forms
20 fields · 19 mandatory
Sponsorship Live
No legacy ComplySci form exists for this today – net-new flow reflecting the firm's sponsorship policy
15 fields · 15 mandatory
Private Placement Live
SEC-required and recommended fields for private/limited offering preclearance
16 fields · 13 mandatory
IPO Request Live
SEC-required and recommended fields for IPO preclearance
13 fields · 10 mandatory
Trade Request Live
SEC-required and recommended fields for personal trade preclearance – FIRM POLICY: sell/close/reduce only, no new buys or additions to a position
10 fields · 8 mandatory
New Broker Account Request Live
SEC-required and recommended fields for disclosing a new outside brokerage/custodial account
11 fields · 10 mandatory
Update Broker Account Request Live
SEC-required and recommended fields for updating or closing an outside brokerage/custodial account
10 fields · 7 mandatory
Outside Affiliation Live
SEC-required and recommended fields for outside business, board, and employment affiliations
13 fields · 9 mandatory
Political Contribution Live
SEC pay-to-play (Rule 206(4)-5) required and recommended fields for political contribution preclearance
12 fields · 11 mandatory