Manually monitoring employee personal trades can be frustrating and inefficient. Simplify the employee trade preclearance process for both employees and Compliance with MCO's Personal Trade Manager (PTM).
With PTM, all employee pre-clearance requests are automatically run against your business rules. Rules can be setup to run against trade requests for the entire firm or rules can be customized for designated employee groups or high-risk individuals. Trade requests can be automatically approved, denied or escalated by the system, based on your policy.
Employees are no longer delayed from making permissible trades. A simplified, modern interface makes it easy for them to create compliance requests and follow rules.
Automation of trade pre-clearance as part of an integrated compliance program offers a higher level of protection from trading violations and conduct risk.
Capturing an employee’s personal trades and holdings
The MCO personal trade solution provides a fully-electronic method of employee trade capture. Each day PTM receives and processes data feeds from thousands of brokerage firms. The solution also offers nontraditional data capture methods for accounts that brokerages that don't utilize direct feeds.
Processing an employee post trade transaction
Receive timely confirmations of employee trade transactions to check for rule breaks and trade violations. The system automatically alerts if a rule break has occurred.
Outside Business Activities
Firms can automate the capture and management of the outside business activities of employees, improving the monitoring of potential conflicts of Interest.