Compliance, simplified.

Save time, money, and mitigate risk while complying with the SEC Code of Ethics; trading activity, attestations, and disclosures - in one single platform.

Trading Supervision

Instantaneous connectivity with 2500+ institutions including transaction history, allows you to automatically flag potential violations across all of your employees accounts, providing a holistic portfolio view and restriction management application.

Attestations

Track your employees outside business activities, political contributions, and gifts & entertainment with easy to use, configurable templates that allow for reminders, outstanding tasks, and violation management.

Disclosures

Simple, three step process to track all the forms that your employees need to sign, whether they are one-off or recurring attestations for adherence to your firm's code of ethics, social media & trading policies, and new employee onboarding.

Minutes, not days.

Onboard your entire firm in minutes and enable each access person to integrate their online brokerages in just two clicks.

Ease of setup

Aside from seamless employee onboarding, Glass makes it easy to upload your essential attestations and disclosures in no time.

A clear picture, 24/7

You can rest easy knowing you have a 24/7 all-ecompassing view of your employees trades across all popular third party brokerages - a key feature not currently available on other compliance platforms.

Easy reporting, easy approvals

Straightforward disclosure logging & simple to use attestation uploading, signoffs, and reminders.

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Everything you need

All the features your firm needs, whether big or small, to comply with the SEC Code of Ethics.

Track all custom firm policies

Certifications and attestations for things like outside business activities, political contributions, and entertainment are a breeze with our easy to use templates, reminders, and scheduling.

SEC and FINRA compliant archiving

SEC, FINRA, and CFTC compliant storage and archiving under SEC 17a-4(f), FINRA 4511(c), and CFTC 1.31(c)-(d). Data retention and access is available for the full mandated retention period.

Bank level security

Transport Layer Security HTTPS encryption for all exchanges of data between your computer and Glass, and Glass and any third parties used for brokerage integrations and market data. Each firm’s Glass instance has its own dedicated and isolated database and long-term compliant storage container with AES-256 encryption.

Connect any online brokerage account in 2-clicks

Glass supports secure, 2-click integrations with over 2500 online brokerages. Get an instantaneous and real-time view of every employees holdings, automatically reconciled for potential violations.

CIO Review

Compliance Focus Issue 2021

Read the Article!

Simple, transparent pricing.

Get started with a 30 day free trial

Boutique

For up to 10 access persons

$49/mo per person
  • Up to 10 access persons
  • 24/7 Trading Monitoring
  • Attestations and Disclosures
  • No implementation or maintenance fees
Book a Demo

Large Firm

For 10+ access persons

Inquire
  • For 10+ access persons
  • 24/7 Trading Monitoring
  • Attestations and Disclosures
  • Multi-Tenant Solution for outsourced Compliance Consultants
  • No implementation or maintenance fees
Book a Demo

FAQ

How long does the onboarding process take?

We built Glass on the premise that compliance does not need to be complicated, and provide a seamless onboarding experience. Sign up, connect your brokerage accounts, and use our templates for attestations and disclosures and you’ll be up and running in no time.

What type of training support is provided by Glass?

We are here to help. While we simplified the onboarding process, our implementation and support team is standing by to address any questions that arise during your onboarding and day-to-day workflow.

What’s different about Glass when compared to established competitors in the market?

Glass brings simplicity to the regulatory compliance world. Gone are the days of long term contracts, negotiations, and heavy onboarding - our goal is to make your code of ethics requirements as simple as possible.

What information do I need to provide?

Unlike our competitors, we streamlined brokerage connectivity and your employees can add all of their brokerage accounts in two clicks. Disclosure and attestation setup is a breeze, and our team is standing by to assist you in the process.

Do I have to sign a long-term contract?

No, and we are the only provider on the market that won’t lock you into a long-term contract. At Glass, we believe in simplicity, transparency, and flexibility. The price you see on the website is the price you pay and there are no setup costs or hidden fees.

What types of clients do you support?

We built Glass to be flexible and scalable. Whether you are a financial advisor with a few access persons or a large asset manager with hundreds of users, our platform will scale with you. We also support custom integrations and white-labeling solutions for compliance consultants and outsourced CCO’s.

Ready to get started?

Get Glass, gain peace of mind.