The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your Employee
Know Your Third Party
Know Your Transactions
Learn more about the most current regulatory issues and their impact on organizations like yours.
New business is the lifeblood of the organization. Small inefficiencies and inconveniences can add up to risk and wasted resources when multiplied by high frequency, especially around the conflicts management process.
Learn how Camille and her team addressed the challenges of Control Room compliance
The removal or management of all conflicts of interest in the deal cycle is an important part of every financial transaction.
For those involved in M&A, capital market, trust, and restructuring engagements, the responsibility for clearing a deal typically falls on the control room compliance team. A function that is often asked to keep up using manual and inefficient systems and processes prone to human neglect and error.
MCO's Control Room Compliance Solution is an enterprise conflict of interest solution that provides an effective way for firms to manage the flow of sensitive information, review investment banking deals and private transactions for potential conflicts, define the associated restrictions, manage MNPI and insider lists, manage research activities, while capturing a complete compliance review for auditing and regulatory reporting purposes from a single, centralized platform.
Review investment banking deals and private transactions, evaluate potential conflicts, define restrictions, and capture compliance review for reporting purposes from a single, centralized platform.
Comprehensive solution enables firms to fully manage the receipt of MNPI Insider Information and allows them to present the information and reports required by regulators in all major regions.
"With MyComplianceOffice, we significantly improved process efficiency when onboarding new business, clearing conflicts of interest, and meeting rigorous compliance regulations. The ROI exceeded our expectations."
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