UK-based wealth management firm.
The firm was dependent on manual and disparate processes to manage employee compliance. Leadership wanted to move away from time-consuming and error-prone spreadsheets and choose a partner to provide a comprehensive and automated compliance solution.
After an intensive five-month review, the firm selected MyComplianceOffice. The firm has licensed Know Your Employee modules including Personal Trade Manager, Gifts and Entertainment, Outside Business Activities, Certifications, Attestations and Political Contributions along with the Know Your Transactions module MNPI and Insider List Management for 1900 users.
MCO’s integrated technology was able to offer the firm the wide range of compliance coverage required on a single platform with a single data source. MCO’s professional, knowledgeable and responsive team was also noted as a key factor driving the firm’s decision.
Read How Optimal OBA Compliance Goes Beyond Just Disclosures
Learn about MCO's Know Your Employee Solution
Download a case study on Fighting Conflicts with a Centralized Solution
