A private asset management multi-affiliate holding company based in the United States.
The Challenge
The firm, an existing user of MCO's Know Your Employee solution, was experiencing significant issues with their existing communications compliance provider that necessitated an immediate change. The platform was expensive, offered limited surveillance functionality and dragged down efficiency by generating large numbers of false positive results.
The MCO team was ready and willing to implement an expedited sales cycle under intense time pressure. The team was able to present the solution, provide answers to complex technical questions and kick off an implementation designed to meet the specific needs of the firm all within an amazing three weeks. The client team noted that they were extremely happy with the implementation, the functionality and especially the level of service and support that they received from the MCO team.
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Optimal OBA Compliance Goes Beyond Just Disclosures
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