With MCO's Personal Trade Manager, all executed employee trades are checked against firm rules during the post-trade review process.
Pre-determined trade rules run immediately against post-trade data captured electronically in the system. The system also checks executed trades against pre-clearance requests for conditions, such as holding period
If a rule break has occurred on an executed trade, the system will generate an alert. The compliance team, or appropriate designated person at the firm, immediately receives alerts of the potential conflicts of interest to investigate and resolve.
Employee Trade Pre-Clearance Process
Monitoring employee preclearance requests can help protect the firm from trade violations and insider trading. MCO's Personal Trade Manager simplifies the preclearance process for both compliance and employees.Employee Trade Pre-Clearance Process
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.
Anti-Bribery and Corruption
A comprehensive ABC policy and management system must be able to manage multiple activities simultaneously in order to effectively meet anti-bribery and corruption regulations. MyComplianceOffice created an integrated solution can monitor employee compliance, outside business activities, political contributions and third-party risk.