Better Conflicts Management Starts Here

As the frequency and complexity of investment deals increases, so does the risk of damage from conflicts of interest. Deal and Engagement Review Manager offers insight and control across the investment process to identify potential risk.

COMPLIANCE BUILT BETTER™

Keep your deals moving forward. Take a proactive approach to monitoring investment and private transaction deals for potential conflicts of interest and minimize the risk of delays.

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Gain control across the entire process. Surveil investment banking and private transaction deals across each stage of the deal lifecycle.

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Increase visibility and efficiency. Track communications with deal team members and implement workflows for deal escalation, review and approval.

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Alert

CONTROL ROOM COMPLIANCE

Speed up the new business process with centralized deal room and control room compliance.

Identify deals in the pipeline with potential conflicts to allocate resources for expedient resolution.

Monitor

AUTOMATION ACROSS THE DEAL REVIEW PROCESS

Reduce review time and the risk of misconduct with automation to streamline the conflict review process.

Fully integrated case management gives you efficient escalation, review and disposition of alerts. 

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INTEGRATED CONFLICTS MANAGEMENT

Integrate with internal systems including trading platforms, OMS, CRM and HR.

Access employee conflict of interest data from the MyComplianceOffice platform including personal trading, gifts and entertainment, outside business activities and more.

Review investment deals, evaluate potential conflicts, define associated restrictions and capture an audit trail for regulatory and reporting needs.

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Determine and capture all conflicts and restrictions associated with a deal including the firms involved from MyComplianceOffice and internal systems. Define and administer required disclosures.

Identify public and private firms including their subsidiaries and all associated exchange-traded securities.

Enable the submission, review and approval of wall crossings and wall cross backs when a deal is made public.

Generate a detailed audit trail of all updates.

The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.

Deal and Engagement Review Manager is part of MCO’s Know Your Transactions (KYT) solution suite.

Know Your Transactions (KYT) enables firms to address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios on a single, integrated platform.

Manage Conflicts of Interest in Investment Deals

As the frequency and complexity of investment deals increases, so does the risk of damage from conflicts of interest. MCO’s Deal and Engagement Review Manager provides firms with a solution to surveil investment and private transaction deals for potential conflicts, empowering you to identify and capture all conflicts and restrictions associated with a deal and monitor investment banking and private transaction deals through each stage of the deal lifecycle.

Control rooms and compliance departments can reduce time and the risk of misconduct with automation that streamlines conflict review and speeds up the new business process while allocating resources for expedient resolution.

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The 2024 Surveillance Benchmarking Report

Benchmark your firm's surveillance against other firms and read about the state of trade and communications surveillance in the financial services industry today.

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