KNOW YOUR TRANSACTIONS (KYT®)
Insider and MNPI Management
Manage access to MNPI and the creation and maintenance of insider lists.
Better Insider Information Management Starts Here
With strict regulations governing the flow of insider information, MCO’s Insider List and MNPI Manager tracks access to sensitive data in advance of trading and investment deals.
COMPLIANCE BUILT BETTER™
CONTROL ROOM COMPLIANCE
Speed up the new business process with centralized deal room and control room compliance.
Surface potential conflicts of interest and mitigate the risk of insider dealing with by tracking and cataloguing MNPI and associated insider lists related to potential deals.
COMPLIANCE WITH MAR AND OTHER GLOBAL REGINES
Under regulations such as MAR Article 11, givers and receivers of material information are held to regulatory guidelines, such as the requirements on disclosers and recipients when a potential investor is wall-crossed, i.e., sensitive data is shared.
Electronically retain required records and easily supply provide insider lists to regulators upon request.
IDENTIFY RISK BASED ON ROLES
Monitor employees including deal or investment team members, senior executives and compliance who present permanent potential conflicts when exposed to MNPI.
Create additional lists for people conferred with temporary access based on discrete activities including deals, corporate events and publication of financial statements or profit warnings.
Create and update employee and firm restricted lists for trade surveillance and proactive identification of potential conflicts of interest.
Segment lists by groups. Allow for the capture of ad hoc or accidental receipt of MNPI.
Cross-reference a hierarchical database of securities listings and company information on tens of thousands of entities.
Capture summaries of data and generate reports for regulators.
The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.
Deal and Engagement Review Manager is part of MCO’s Know Your Transactions (KYT) solution suite.
Know Your Transactions (KYT) enables firms to address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios on a single, integrated platform.
