Large public pension fund based in the United States.
The firm’s CEO mandated a dramatic change to how the organization tracked and monitored conflicts of interest. The CCO needed to find and implement technology that would allow the firm to take a proactive approach to managing conflicts to reduce the risk of regulatory censure.
A former Schwab Compliance Technologies customer, the company was already very pleased with the smooth transition to MyComplianceOffice and the increased functionality that came along with it. The firm augmented its compliance capabilities by adding 2000+ users to MyComplianceOffice’s Forms Manager, Gifts and Entertainment, Attestations Manager and Outside Business Activities modules. A few months later, the firm’s compliance was further bolstered by adding Deal Review Manager, MNPI and Insider List Management, Trade Surveillance Manager and Know Your Third Party. Additional expansion is in the works for an even more comprehensive view of compliance.
SEC Priorities Focus on MNPI, Insider Trading and Crypto
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