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 Trade Surveillance

Know Your Trading (KYT)

MyComplianceOffice provides an affordable, automated trade surveillance solution to help you monitor the AML and security trading in accounts, portfolios and funds. This enables the firm to meet its regulatory responsibilities, the investment objectives of the portfolio, to protect itself from insider trading and to ensure the suitability and the appropriateness of the trading activity. To see just how effective these solutions can be for you, simply fill out the form on the right and enjoy a no obligation demo or free trial.

You can monitor all of the firms' trades with our interconnected modules with features that include: 

Extensive Rules Engine

Includes a wide variety of rules that are easily configurable for monitoring compliance with policies such as market manipulation, insider trading, suitability, conflicts of interest, fund mandate rules and AML rules.

Easy Alert and Workflow

Solution enables easy monitoring of rule breaks with workflow functionality to easily direct to the appropriate person for resolution.

Customer Suitability

Monitor the appropriateness and suitability of investment products for clients and households.

 

If you would like to learn more about this solution fill in the quick form to get a demo or to take a free trial. 

 

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