Small firms often lack the resources to efficiently and effectively meet compliance obligations, but no firm gets a pass from regulatory scrutiny, regardless of size. That’s where MCO Essentials can help.
Designed to meet the needs of small enterprises with less than 50 employees, MCO Essentials provides firms with a cost effective and easy-to-use solution that eases compliance and regulatory burdens and lets firms take a proactive approach to compliance.
With MCO, you get a comprehensive and customizable solution that meets your needs right now, and is scalable to grow with you as your business does.
Personal Account Dealing
Simplify the employee trade pre-clearance process and automate the review of employee trading activity against restricted lists and other business rules you may have. Requests can be approved, denied or escalated according to your company rules. In addition, check for other conflict scenarios such as insider trading, front-running and tailgating.
Automate electronic employee brokerage confirmations and statements.
Certifications & Questionnaires
Manage employee certification data while ensuring that employees respond in a timely manner.
Facilitate periodic employee attestations, disclosures and questionnaires related to all employee activity. Confirm that employees have read and will comply with company policies.
Customize any forms that are specific to the activities within your firm so that pre-approval processes are straightforward and efficient.