MyComplianceOffice Blog

With the increased challenges for financial Control Rooms, global regulators continue to pressure firms concerning the flow of confidential information. To manage the flow on confidential information and implement an effective risk control, firms are expected to continue working on the modernization of regulatory, legal and compliance risk management programs. These modern programmes in addition to effective technology can ensure that material non-public information (MNPI) is only available to staff as and when required and does not leak to other parties.

MyComplianceOffice the leading provider of automation for the management of compliance and conduct risk, has been awarded Best Technology Provider for Compliance at the Wealth Management 2020 Industry Awards.

Managing a financial trading control room involves balancing a wide variety of tasks. To comply with the rules and regulations, all deals need to be carefully reviewed, the flow of information must be managed strictly, and there needs to be a focus on preventing conflicts of interest. All this work can take a long time to carry out, and a single deal can move slowly through the pipeline.