Compliance
Alerts, restricted list, filings, and surveillance in one place.
Open alerts
5
High-risk alerts
3
Restricted entities
3
Filings in flight
3
| Alert | Category | Score | Employee | Date | Reviewer | Status | Age |
|---|---|---|---|---|---|---|---|
| Marketing deck references unverified performance figure | Marketing rule | 78 | C. Reyes | 2025-11-11 | R. Osei | under review | 3d |
| Employee communication mentions unannounced deal | Communications | 85 | T. Nguyen | 2025-11-12 | R. Osei | escalated | 2d |
| Personal trade in restricted entity CloudForge | Pre-clearance | 92 | H. Park | 2025-11-10 | R. Osei | escalated | 4d |
| Social media post requires review – Investor Day recap | Social media | 42 | K. Nolan | 2025-11-13 | R. Osei | under review | 1d |
| Restricted entity Vector Security – review overdue | Regulation FD | 55 | Vector Security | 2025-11-05 | — | new | 9d |
| Code of ethics – outside board seat disclosure | Code-of-ethics conflict | 38 | M. Torres | 2025-11-08 | R. Osei | closed no action | 6d |