One platform that co-ordinates and consolidates everything you need to achieve oversight of staff compliance within your firm, Leo empowers your staff with an easy-to-use portal for everything compliance related.
Whether viewing your compliance manual and policies, requesting approvals for receipt of gifts, making personal account trades, or attesting to adherence with your policies – Leo makes it effortless.
Request a callback or book a demonstration of Leo. Our friendly team are ready to answer all your questions and find the best solution for you.
Your staff will always know where to go to find compliance information and fulfil their compliance requirements – it’s all in Leo.
Keep your compliance manual and all your policies in one centralised location where the latest version is always available to your staff. No need to send attached copies or worry about outdated versions doing the rounds.
Fulfil your regulatory obligations, mitigate your liability and evidence your compliance by having your staff complete their attestations in a system that automatically schedules declaration forms and chases staff for completion.
Configurable to your requirements, Leo will manage attestations on an ongoing basis. Set and forget, the system will even include new joiners without manual intervention.
Request a callback or book a demonstration of Leo. Our friendly team are ready to answer all your questions and find the best solution for you.
Gain oversight and control of your employees personal trades by using Leo to effectively implement your PA Dealing policy in one easy to use unified system.
You decide how the Leo PA Dealing system works for you – determine your parameters for whether trades are automatically approved or require manual approval. Set pre-approved and restricted securities, time limits on trades, have employees specify the size of their trades, and allow or disallow use of short positions.
Have your employees and their connected persons list their accounts and upload their account statements as evidence of compliance. Leo will track the entire process and chase staff for their contract note once their trade has been executed.
Have your staff submit all their professional conduct records through Leo, so you can see everybody’s submissions in one place. No missed emails, and no need for manual collation.
With Leo, your staff use their same account to log and notify you about their conflicts of interest and gifts and inducements, as well as track their CPD hours.
Leo supports custom content so you can upload existing spreadsheets and easily keep track of any staff activities in a fully permissions-managed environment.
With Leo, your compliance environment works the way you want it to work.
Configure rules with conditions and thresholds to have the system automatically perform the actions you require. Rules can be as simple or complex as you need them to be, from singular conditions being met to many different parameters being combined to trigger actions.
Leo has been designed with extensive granular permissions, so staff can only see their own submissions whilst you and your nominated individuals retain full informational oversight.
Not at all. Leo is an always available self-service solution, so you are not reliant on us for any of your tasks, but should you ever need any assistance, then your dedicated account manager is still reachable and always ready to help.
Legacy data can be easily imported to Leo so you can ensure that all your compliance information conveniently stays in one place.
You have full control over your approval workflows, you decide whether you want your employee compliance system to be operated entirely by your manual oversight, automatically through your chosen conditions, or through a hybrid of both. Set up as few or as many individual approval workflows as you want.
Leo comes with all the templates you need, so you can use it straight out of the box – everything comes ready to get up and running in next to no time at all. Have more specific needs? You can easily tailor the content we provide you to your needs, or even create your own templates from scratch.
Leo is web based, meaning your staff can log their declarations on the go.
Request a callback or book a demonstration of Leo. Our friendly team are ready to answer all your questions and find the best solution for you.
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