KNOW YOUR EMPLOYEE
Connected Persons and Relationships
Track employee personal relationships and closely associated persons to monitor for potential conflicts of interest.
Better Management of Conflicts from Employee Relationships Starts Here
EMPLOYEE PERSONAL RELATIONSHIP TRACKING
Where do your employees have personal connections to other businesses or government entities that could lead to insider trading or market manipulation?
Identify and track areas of potential risk with software you can configure to meet firm needs.
ENFORCE PERSONAL RELATIONSHIP POLICY
Connected Persons and Relationships Manager gives you a solution to define the personal relationships that must be declared, disseminate policies and procedures to make sure employees understand their obligations, provide a process for declaring connected persons and relationships and monitor to ensure that employees are fulfilling their requirements.
IDENTIFY PERSONAL CONFLICTS OF INTEREST
Understanding the potential conflicts stemming from connected persons and close personal relationships is just one part of an employee’s conduct risk profile.
Get the complete picture of risk with alerts associated with other data entered on the platform, including employee compliance rules, gifts and entertainment, political contributions, outside business activity, employee trade activity and more.
Monitor employee personal relationships and closely associated persons for potential conflicts of interest and the risk of undue influence.
Track employee relationships to detect associations that may lead to illegal activities, such as insider trading or market manipulation as required under the Market Abuse Regulation and similar global frameworks.
Understand the affiliations that connected persons have to commercial business entities or government bodies. Search, report and view the status of submissions and customize standard questionnaires with information specific to the firm.
View personal conflicts of interest when looking at the MCO conduct risk profile of an individual or organization to get a holistic view of potential employee compliance risk.
The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.
Connected Persons and Relationships is part of MCO’s 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.
