KNOW YOUR EMPLOYEE (KYE^®)

Personal Trading Compliance

Capture employee personal trades and automate clearances to identify potential conflicts of interest.

REQUEST A DEMO

DOWNLOAD BROCHURE

4.8/5 on G2

MCO
Know Your Employee (KYE)
Personal Trading Compliance

Trusted by 1500+ Compliance Teams

What Better Personal Trading Compliance Looks Like

A strong personal trading compliance program should do more than record activity. It should help your team capture the right data, apply policy consistently, surface risk early, and maintain clear records for oversight and review.

Complete Trade Visibility

Capture trades and holdings from broker feeds, online access, manual entry, and OCR statements so your team has broader coverage across employee accounts.

Faster Pre-Clearance Decisions

Automate approvals, denials, and escalations through configurable workflows that support your policy and reduce manual review time.

Stronger Post-Trade Monitoring

Monitor trading activity with flexible rules that help identify excessive trading, restricted activity, news-timed trades, and other risky patterns.

Better Insider Trading Controls

Check employee activity against watch lists and restricted lists linked to your firm’s security and business entity data for more consistent conflict detection.

Scalable Account Oversight

Manage account details, ownership indicators, certifications, and attestations with permissions that support employees, compliance teams, and administrators.

Clear Reporting and Audit Readiness

Generate reports, review exception trends, and maintain a full audit trail of requests, alerts, orders, and workflow actions for stronger oversight.

Simplify Personal Trading Compliance Today.

Advanced Employee Trading Compliance Capabilities

Multi-Channel Data Capture

The system collects trading data from multiple sources, including direct brokerage feeds, online account access, manual entry, and OCR-based statement uploads. This helps firms maintain more complete visibility across employee trading accounts and reduces gaps caused by missing or delayed data.

Configurable Pre-Clearance Controls

Pre-clearance workflows can be configured to match internal policies. Requests can be approved automatically, escalated for review, or routed through custom approval paths. Time-zone aware logic helps ensure decisions follow firm rules regardless of where employees are located.

Advanced Surveillance Rules

Surveillance rules help compliance teams detect patterns that may indicate policy violations. The system can flag excessive trading, transactions involving restricted or watch list securities, news-timed trading activity, and potential front-running or tailgating scenarios.

Restricted List Integration

The platform integrates with firm watch lists and restricted lists to support stronger conflict checks. Shared business entity and security master data helps ensure reviews are based on consistent information across compliance programs.

Assignments and Case Workflows

Compliance teams can review alerts, assign investigations, escalate concerns, or create cases for deeper analysis. Returned assignments can close automatically once the required review is complete, helping teams manage workloads more efficiently.

Reporting and Operational Visibility

Built-in reporting tools provide trend views, unmatched feed reports, and standardized export formats such as CSV, Excel, and PDF. These reports support internal oversight, audits, and management reporting while improving transparency across the compliance program.

Personal Trading Compliance Workflow Overview

Evaluate Compliance with FCA Personal Account Dealing Requirements

VIEW INFOGRAPHIC

Customer's Success Stories

See How Organizations Win With Smarter Compliance

How a Swiss Law Firm Implemented Personal Account Dealing with MCO

A rapidly growing commercial law firm in Switzerland needed stricter controls to manage inside information and personal account dealing as its client base expanded. After evaluating multiple providers, the firm chose MCO’s Personal Account Dealing solution for its advanced functionality, comprehensive company database, and ease of managing restricted lists.

The result: Streamlined compliance processes with improved visibility across global entities.

Learn More

FAQs on Personal Trading Compliance

How does PTM maintain coverage if a broker feed is unavailable?

PTM helps maintain coverage by supplementing broker feeds with online access and OCR statement capture. This allows firms to continue collecting trades and holdings data even when a direct broker feed is missing or delayed.

Can pre-clearance workflows be tailored by security type or product?

Yes. PTM supports configurable pre-clearance workflows with custom request types, security sets, and approval paths. This helps firms apply different review rules based on product type, internal policy requirements, and compliance risk.

What insider trading controls does PTM include?

PTM includes surveillance controls for restricted list checks, watch list checks, news-timed trading, excessive trading, and front-running or tailgating. These controls help compliance teams detect risky activity earlier and review alerts more efficiently.

Does PTM support digital asset trading compliance?

Yes. PTM offers a digital asset add-on that brings crypto into the same pre-clearance, monitoring, and attestation framework. This helps firms manage oversight across traditional securities and digital asset activity in one place.

How do compliance teams monitor employee brokerage accounts across multiple platforms?

PTM centralizes employee trading and holdings data from broker feeds, online access, manual entry, and statement capture. This gives compliance teams a more complete view of account activity across platforms and supports more consistent policy monitoring.

How does PTM support audit readiness for financial institutions?

PTM supports audit readiness by maintaining records of employee trades, approvals, attestations, alerts, and workflow actions. This creates a clear audit trail that helps firms demonstrate oversight, investigate activity, and respond to internal reviews.

Better Personal Trading Compliance Starts Here

Employee personal trading can create significant conflicts of interest for your firm. Our Personal Trade Manager automates the personal trading compliance program to uncover violations and mitigate risk.

COMPLIANCE BUILT BETTER.™

Easy for Compliance admins and employees. Intuitive interface, electronic data capture and a robust rules engine, make the personal trading preclearance and disclosure process easy for all.

Save time and effort. We have multiple options for trade capture including 100s of direct feeds and Optical Character Recognition (OCR).

Proactively identify and reduce risks. Employee profile data provides transparency needed to identify patterns in personal trade activities and reconciliation.

SIMPLIFY PRECLEARANCE PROCESSES

Automatically run employee preclearance requests against your business rules. Configure rules to run against trade requests for the entire firm or customize for designated employee groups or high-risk individuals.

Based on your policy, trade requests can be automatically approved, denied or escalated.

CAPTURE ALL EMPLOYEE TRADES

Personal Trade Manager can capture up to 100% of trades and process daily data feeds from thousands of brokerage firms depending on the needs of your compliance program.

We also provide nontraditional data capture methods for accounts without direct feeds using OCR or manual inputs.

VERIFY POST-TRADE TRANSACTIONS

Check all employee trades against firm rules during the post-trade review process.
You’ll receive timely confirmations of employee trade transactions to check for rule breaks and trade violations. Personal Trade Manager automatically generates an alert for you if a rule break occurs.

Capture 100% of employee personal trading and holding information via multiple capture methods including brokerage feeds.

Run a wide selection of preclearance and post-trade rules

Review employee trading activity against restricted lists and insider trading rules and check employee trade activity for front-running and tailgating.

Manage attestations and disclosures across user accounts, trades and holdings

Easily configure, reuse and automate attestations and questionnaires, track completion, and generate reports to streamline compliance processes and provide proof of regulatory compliance.

Monitor trading and holding data for each review period on all accounts

Automate the capture of trade confirms from brokerages, plus utilize alternative data capture methods when direct feeds are not available.

No IT needed. Product is easy to configurable whenever changes are required

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

We help you better Know Your Employee

Our employee trade compliance software is part of the Know Your Employee (KYE) suite that monitors, identifies and remedies conflicts of interest and code of conduct issues and comprehensively addresses employee compliance.

With Know Your Employee, firms can manage all areas of employee compliance on one platform with shared data, enabling a holistic view of compliance risk.

Take a holistic view of Personal Trading Risk

Enhance your personal trading program and achieve a comprehensive view of users’ trading and holding data with Personal Trade Manager. With flexible data capture options, configurable workflows, automated preclearances and efficient tracking of employee trades, you can identify potential conflicts of interest and promote thorough oversight and data accuracy throughout your compliance program.

KNOW YOUR EMPLOYEE (KYE®)