Resources

  • New Report Highlights Potential 2021 Pay-to-Play Enforcement Risksarrow_forward Last month, Compliance Week highlighted some of the compliance considerations for investment advisors (and other regulated firms) around the 2020 elections in a piece headlined “SEC ‘pay-to-play’ enforcement surge projected in 2021”. The article notes that tomorrow’s elections have spurred a massive wave of contributions - and are likely to also trigger a new wave of SEC enforcement.
  • New Report Highlights Potential 2021 Pay-to-Play Enforcement Risksarrow_forward Last month, Compliance Week highlighted some of the compliance considerations for investment advisors (and other regulated firms) around the 2020 elections in a piece headlined “SEC ‘pay-to-play’ enforcement surge projected in 2021”. The article notes that tomorrow’s elections have spurred a massive wave of contributions - and are likely to also trigger a new wave of SEC enforcement.
  • illumis Compliance Product Update: Introducing Dashboard Graphicsarrow_forward We’re continually updating our political contribution monitoring platform to better serve our customers. With the election around the corner, we’re excited to introduce our latest feature update:
  • illumis Webinar: Pay-to-Play Compliance & the 2020 Election arrow_forward We’re excited to host a webinar regarding pay-to-play compliance around the 2020 election! Please join our team on October 28th at 4 p.m. ET for a conversation with two experts on the subject. We will focus on some of the complexities of pay-to-play law and political contribution compliance and hear from the experts on best practices as well as emerging areas of risk. You can find more details about our guests below and to register, please click here.
  • Wall Street Journal Article Highlights Growing Push to Equip Compliance Teams with Data Solutionsarrow_forward Yesterday’s Wall Street Journal highlighted the increasing emphasis and implementation of data analytics and monitoring tools in corporate compliance programs.
  • Releasing our U.S. House Candidate Research Report arrow_forward Yesterday, we released our second research report to help compliance teams navigate political contribution regulatory compliance. Download our 2020 Candidate Research Report on U.S. House Candidates here!
  • illumis Compliance - Fall Product Updatearrow_forward This summer we’ve continued to build out powerful tools on our political contribution compliance platform to better serve our customers. Today, we’re excited to share three big features we added to the illumis platform:
  • Releasing Our First Candidate Research Report for Regulatory Riskarrow_forward Our team of analysts recently compiled various research memos that provide background on the state and locally elected officials running for Federal office in 2020. Today, we’re excited to release the 2020 Candidate Research Report on Senate Candidates. The report lists the current elected offices all candidates hold (or their profession), and also notes some potentially relevant pension funds. We’ll be following up with a report on House candidates soon.
  • illumis Compliance Product Updates — Junearrow_forward We’re continually updating our political contribution monitoring platform to better serve our customers. We’re excited to share five updates we added to the illumis platform in June:
  • Match Records with Preclearance Requests arrow_forward We’ve been working closely with our customers to build a more streamlined political contribution monitoring system. Today, we’re excited to introduce the newest release on our political contribution monitoring platform: preclearance record matching.
  • Introducing Preclearance arrow_forward We’re excited to announce we’ve added a streamlined, fully-customizable preclearance tool to illumis’ political contribution monitoring solutions. Our preclearance feature ties political contribution preclearance data and monitoring data together in a single workflow for the first time, enabling significant automation to save time and improve processes for compliance teams across the financial services industry.
  • Two New Tools for Compliance Teamsarrow_forward The illumis team is happy to announce two major releases for our political contribution monitoring platform. Standalone searching and enhanced candidate and committee data will help streamline workflows for compliance teams.
  • April 2019 Update: Bulk Exports & Date Limitarrow_forward Bulk Exports In addition to the existing individual export functionality and full platform reports, we have now launched a bulk export function that delivers more flexibility and precision around which records you’d like to pull in an export. For example, if you want to see all records for contributions made this year, select “add all” on the export page and select a contribution date window. Or if you’d like to see all contributions that were recorded in the last quarter from a specific set of employees, you can do that as well. See how here:
  • Potential Pay-to-Play Risks Posed By New Presidential Candidatesarrow_forward The growing field of candidates in the Democratic primary represents increased risk of contributions that violate “pay-to-play” regulations, and thus increased risk to financial institutions serving public sector clients. This is especially relevant this month as Gov. Jay Inslee of Washington becomes the first incumbent governor to launch a 2020 presidential campaign.
  • March 2019 Update: Address Filter And Preclearancearrow_forward Preclearance lists You can now integrate preclearance data into illumis. Use the Preclearance tab to add and store contribution requests to the platform, helping keep your workflows streamlined and centralized, and easily share data across the team.
  • January 2019 Update: Company Filtering & Auto-Populate Nicknamesarrow_forward Auto-populate nicknames Adding common nicknames to searches helps ensure you’re not missing any important contributions. When you add or edit an employee, you can now auto-populate common nicknames to be included in your search. You can also remove or edit nicknames that aren’t relevant to your search.
  • December 2018 Update: Custom Statuses and Attachmentsarrow_forward Custom Record Statuses Last month, we launched a feature that allows you to categorize records. We received lots of positive feedback but many customers wanted to be able to further customize statuses. With this update you can now configure your own statuses (up to 5), and customize them to better match your internal workflows and documentation processes.
  • November 2018 Update: Dashboard and Contribution Statuses & Notesarrow_forward Dashboard View Using the new dashboard view, you’re able to see a continuous stream of all the records added to your account across different people and companies, and organize them as needed. You can also use filters to see records detected within the last day, week, or month.
  • October 2018 Update: Jurisdiction Filterarrow_forward Jurisdiction View illumis has always allowed you to monitor all of the political contributions made on a name-by-name basis - with data covering all 50 states, major cities and counties, and federal contributions, and updated daily.
  • September 2018 Update: Company Search & Automated Reportingarrow_forward Company Search illumis has always allowed you to monitor all of the political contributions made on a name-by-name basis. Now, our platform also allows you to search by employer company names as well.