Your Employee Code of Ethics (CoE) and Code of Conduct (CoC) define the standards for employees.

Regulators require businesses to both have recorded and comprehensive CoE/CoC and ensure they are implemented.

GRC-Maestro supports your employee CoE/CoC management in a Maestro Solution with:

    • Maestro-Templates: for all employees or sub-groups, e.g. all new joiners in Finance, Managers in Hong Kong, etc.
    • Schedules: periodically sending applicable Maestro-Forms to employees
    • Incidents: evaluate responses with automatic and manual incident creation, reporting and resolution

GRC-Maestro evidences to regulators that your employee CoE/CoC is comprehensively managed.

For more information on the GRC-Maestro Platform click here.

For more information on the GRC-Maestro Platform click here.

Reporting on: Employee Code of Conduct

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Conflicts of Interests

Monitor, manage and report the conflicts of interest that employees have with other parties, including their employer and clients.

  • No Issue
  • Incident: No Breach
  • Incident: Breach

External Roles/Interests

Allow employees to request permission to undertake work outside their paid employment, e.g. voluntary, political, community, etc.

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Gifts and Entertainment

Ensure employees comply with both regulatory rules and management policies regarding the giving and receiving of gifts and entertainment (nature, value, frequency, purpose, etc.)

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Personal Share Trading

Pre-approve and/or review employee personal trades against client orders, proprietary trades and possible insider information.