Deal and Engagement Review
It’s important to manage potential conflicts of interest in investment banking deals. Control rooms or compliance departments need a proactive way to manage this process. MCO provides an effective way for firms to review investment banking deals, evaluate potential conflicts, define the associated restrictions, as well as capture the compliance review for auditing, regulatory and reporting needs. This comprehensive deal review compliance solution can also audit the communication by the control room/compliance review team to the deal team members, including required disclosures.
Deal and Engagement Review Management (DRM):
- Captures investment banking deals including the firms involved in the deal
- Identifies public and private firms, including their subsidiaries and all associated exchange traded securities
- Enables the submission, review and approval of wall crossings and wall cross backs when a deal is made public
- Integrates with other employee conflict of interest systems such as personal trading, gifts and entertainment, and outside business activities
- Presents potential employee and firm conflicts of interest to compliance reviewer
- Defines and communicates disclosures that should be employed with the deal
- and more..
Deal and Engagement Review is a component of our Know Your Transactions (KYT) platform. Use this module to address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios.