Digital Asset Compliance

What is Digital Asset Compliance?

Digital asset compliance refers to the policies, controls, and monitoring processes firms use to oversee employee crypto trading, manage insider risk (MNPI), and identify conflicts of interest related to digital assets.

The MyComplianceOffice platform provides the centralized technology and automated controls needed to deliver integrated oversight across the key areas of crypto and digital asset compliance, including personal trading, insider risk, and employee activities.

A Single Platform for Digital Asset Compliance

As digital assets move further into the mainstream and regulations continue to emerge, financial services firms face an increasing set of compliance obligations. Compliance teams need structured and automated oversight that spans key areas of risk including employee personal trading, insider risk management and outside activities.

MCO enables firms to manage digital asset and crypto compliance across on the same platform used for traditional securities:

• Employee personal compliance for digital asset and cryptocurrency trading
• Insider risk management and MNPI governance, including market abuse risk
• Outside activities posing crypto-related conflicts of interest

The MyComplianceOffice platform delivers this through automated data capture, rules-based workflows, and a centralized view of digital asset activity.

Employee Digital Asset and Crypto Trading Oversight

Manage Personal Trading Across Digital and Traditional Assets

MCO’s Digital Asset Trading Employee Compliance solution enables firms to capture employee trading activity across exchanges, wallets, and on-chain channels on the same platform used for traditional securities. The platform helps firms monitor risk exposure, pre-clear activity, identify conflicts of interest, and maintain a complete audit record for crypto and digital assets alongside conventional holdings.

MCO helps surface crypto and other digital asset trading risks through structured workflows, integrated data feeds, and automated conflict checks.

• Pre-clear employee crypto and digital asset trades and approvals
• Capture transaction data across accounts, holdings, and digital asset activity
• Manage attestations and disclosures aligned to digital asset policies
• Track exceptions and escalate compliance issues
• Maintain audit-ready evidence with timestamps, documentation, and disposition history

The MyComplianceOffice platform manages this through continuous monitoring of employee trading activity across wallets and blockchains and automated enforcement of firm policies.

Insider Information & MNPI Handling for Digital Assets

Strengthen Controls as Digital Asset Activity Expands

Participation in digital asset activities and markets can increase insider risk when employees have access to sensitive information related to token activity, listings, partnerships, treasury actions, protocol changes, research, client orders, or strategic initiatives.

As firms advise, trade, or operate in markets connected to crypto and digital assets, MCO’s Insider List Management a solution helps firms maintain defensible insider controls by enabling firms to manage the inside information events related to the specific digital asset(s) that the firm has received sensitive information about. This allows firms to::

• Identify and track insiders with access to sensitive digital asset information
• Manage restricted lists for tokens, issuers, and related instruments
• Apply event-driven controls to sensitive projects and initiatives
• Assign, track, and evidence insider access through structured workflows
• Maintain centralized records to support internal investigations and regulatory requests

The MyComplianceOffice platform achieves this by centralizing insider list administration, monitoring access to sensitive information, and maintaining auditable records of MNPI and insider information exposure.

Outside Business Activities Related to Digital Asset Outside Activities

Identify and Manage Conflicts Connected to Digital Asset Outside Work

Digital asset conflicts are not limited to trading. They can also arise when employees have roles or relationships outside the firm—such as advisory work, board roles, side businesses, token projects, or other cryptocurrency or digital asset-related affiliations that must be disclosed and reviewed under policy.

MCO’s Outside Business Activities solution helps firms track and manage these activities with preclearances, review workflows, and conflict assessment.

The MyComplianceOffice platform handles this through structured disclosure processes and automated conflict identification tied to digital asset activities.

MyComplianceOffice Provides Effective Oversight of Digital Asset Activity Across the Compliance Program

MCO enables firms to manage key areas of digital asset and cryptocurrency compliance on one platform. This approach helps compliance leaders understand aggregate exposure and ensure the program remains aligned with firm policy, evolving regulatory expectations, and increasing institutional participation in digital asset markets.

The MyComplianceOffice platform provides compliance governance capabilities empowers firms to:

• Centralize compliance data across digital assets and traditional securities
• Integrate digital asset workflows with existing compliance processes
• Maintain consolidated risk views across employees, assets, and activities
• Reduce fragmented oversight across compliance functions
• Manage digital asset activity alongside traditional securities compliance

These capabilities are powered by a comprehensive compliance framework using the same core technology, data sets, functions and capabilities, delivering a single, clear view of risk across all digital asset and traditional activities.