Glass Compliance has been designed for flexibility ensuring straightforward implementation of supervision and reporting elements of your Compliance Program. Utilizing Glass' dashboard feature, compliance officers can easily push periodic attestation and reminders to access persons.

Social media/press policy

Personal Trading Compliance

Code of Ethics


Straightforward Implementation

Statement Uploads

Glass supports manual uploading of periodic broker statements. Compliance officers can schedule reminder messages for their access persons.

Custom form support

Periodic attestation forms, employee onboarding and training documents - Glass allows customization to fit your advisory business.

In-system signature capability

Our attestation module features a proprietary signature solution. Customize any document with various electronic initial and signature boxes.

Assigned users and reminder schedules

Easily designate and assign roles or responsibilities to one or more compliance officers. Users can set reminders and create to-do list using Glass' dashboard feature.