Complete Visibility Into Insider Information, Employee Trading, and Conflicts of Interest

Insider risk management is the process of identifying, monitoring, and controlling risks and conflicts of interest that arise from access to material non-public information (MNPI) and employee personal trading.

When managed across separate systems, insider risk becomes fragmented across trade surveillance, the flow of insider information, and employee trading activity across both traditional securities and digital assets —limiting visibility and delaying detection.

MCO brings these elements together on a single compliance platform, enabling firms to monitor, manage, and mitigate insider risk as it develops.

Take a Unified, Data-Driven Approach to Insider Risk

Effective insider risk management depends on connecting data across employees, accounts, and information flows.

MyComplianceOffice’s single centralized data source ensures that employee profiles, insider list changes, preclearance decisions, and surveillance alerts all reference the same underlying data. With information connected across modules, MCO lets compliance teams spend less time reconciling records and more time acting on what the data reveals.

Configurable workflows, rules-based alerts, and shared hierarchies mean that a change in one area—like adding an employee to an insider list—is visible across the rest of the program. The result is a more consistent, auditable, and defensible approach to insider risk management across the firm.

This connected approach reduces manual effort, eliminates data silos, and enables more consistent decision-making.

How MCO Links MNPI Access and Employee Trading Activity for Insider Risk Compliance

Understanding who has access to sensitive information, when they received that information, and how that aligns with trading activity is central to managing insider risk.

MCO links insider lists, restricted lists, and deal activity to employee personal account dealing activity, creating a clear line of sight between information access and trading.

Manage the Impact of Insider Information

Knowing who holds inside information—and when they received it—is the foundation of insider risk control. MCO's Insider and MNPI management solution enables compliance teams to create and maintain insider lists in minutes, segmenting by role, rights, access timeframes, and discrete events such as deals, corporate announcements, or publication of financial results.

The platform tracks both permanent insiders and those with temporary access, captures accidental receipt of MNPI, and cross-references a hierarchical database of securities listings and company information. When regulators request documentation, firms can produce complete, accurate insider lists without delay.

Monitor Employee Trading Across Asset Classes

MCO’s Personal Trading Management solution gives firms a complete, consolidated view of employee trading activity. Digital Asset Personal Trading expands that view to include crypto, NFTs, and on-chain transactions, on a single platform.

Because trading data shares the same platform as insider lists and MNPI access records, compliance teams can identify when employee activity aligns suspiciously with information access—not just whether a trade violates a rule in isolation. With automated preclearance, post-trade monitoring, and real-time alerts, firms can enforce policy consistently across the full scope of employee activity and stay ahead of conflicts before they become regulatory issues.

Automate Insider Risk Surveillance and Compliance Workflows

MCO's Trade Surveillance solution automates the detection of suspicious trading patterns—identifying potential misconduct at the connection of insider access and employee trading. Configurable rules and workflows reflect firm-specific policies, with cases created automatically to investigate and document potential breaches. By automating routine surveillance tasks, compliance teams can focus their attention on the issues that require human judgment.

Why Financial Firms Choose MCO for Insider Risk Management

MCO gives compliance teams a faster, more connected way to identify and act on insider risk—reducing manual effort while improving visibility across MNPI access, employee trading, and trade surveillance. With a single platform and one source of data, firms can detect conflicts of interest earlier, respond more consistently, and demonstrate compliance with confidence.