GLBA News

Compliance11 Releases Second Generation Compliance Management Software

(July 16, 2008)-- Compliance11, provider of regulatory compliance management solutions, announced that it has released Compliance11 Supervisory Suite 2.0. The second generation Software-as-a-Service application has an enhanced design including expanded functionality within each of the software's four modules -- personal trading, affirmations and disclosures, gifts and case management.

Tad Mitchell, president and chief operating officer at Compliance11 said, "As a SaaS provider we are able to constantly enhance the application with no impact or cost to our customer base. Our solutions are based on the feedback and direction of our clients resulting in a synergistic and effective compliance management product suite."

Compliance11 Supervisory Suite 2.0 adds a number of features including:

-- Enhanced look and feel to significantly improve the user experience
-- Integrated employee brokerage accounts between the personal trading and affirmations modules
-- New, user simplified, brokerage feed upload capabilities to improve personal trading analysis
-- Upgraded reporting capabilities
-- Role-based case assignment and management
-- Improved workflow with multiple levels of approval

Mark Egert, chief compliance officer, Cowen Group, Inc. said, "The Compliance11 Supervisory Suite has had a very positive impact on the day-to-day management of our compliance activities and provides better tools for
supervision and surveillance. By implementing the personal trading and affirmations & disclosures modules, we now have a system that allows us to efficiently automate previously manual processes and provide the structured evidence of review to make our job easier."

For additional information visit www.compliance11.com.

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