MCO's Personal Trade Manager (PTM) helps employees stay in compliance with firm policies around personal trade activity and helps protect the firm from conduct risk.
Employee Personal Trades
Manually monitoring employee personal trades can be inefficient and time-consuming, with PTM, firms can automate preclearnace requests and approvals, employee trade monitoring and post-trade review. These increased efficiencies offer better oversight of employee personal trades.
Features of PTM with MyComplianceOffice:
- Eliminate data gaps with 100% electronically capture of employee’s personal trades
- Provide an automated trade pre-clearance approval process to improve efficiency
- Run a comprehensive selection of pre-clearance rules on an employee’s personal trades
- Run a comprehensive selection of post-trade rules on an employee personal trades
- Automate the gathering of employee attestations regarding personal accounts, trades and holdings to create a more comprehensive and systematic compliance program
- Easy access to internal compliance monitoring reports for all regulator audit requests
- All data on the system is easily filtered and can be exported to .csv, excel and PDF formats
- Integrate personal trade rules with the firms internal trading systems for a more integrated overview of compliance program