Employee personal trade surveillance for chief  compliance officers made easier with MyComplianceOffice.
 
Request a trial of our trade activity surveillance software. Contact us for trade activity surveillance software information.
 
 
 
  • MyComplianceOffice monitors broker-dealers and investment advisors trade activity to protect the firm from insider trading allegations.The personal trade monitoring software solution fulfills FINRA disclosure and SEC compliance requirements
  • MyComplianceOffice ensures that all broker-dealer and employee personal investments are free from conflicts of interests issues. Personal trade activity is easily monitored within the automated investment advisor compliance software solution from TerraNua
  • Any investment advisor trading ahead of client accounts is prevented automatically and all incidents are captured and retained for FINRA audit inspection whilst the surveilance of broker-dealer trade activity is also a core feature of MyComplianceOffice
  • MyComplianceOffice automates the surveilance of broker-dealer trade activity and investment advisor trading activity. Investment compliance manager oversight ensures SEC regulations and FINRA requirements are maintained. City of London FCA and PRU broker-dealer trade activity is easily monitored and prevents confilcts of interest issues
  • An easy to use compliance office management software solution for all broker-dealers and investment advisors
  • Compliance office surveillance of broker-dealer tailgating conflicts of interest issues
     
     

    Employee Personal Trading

    Trade Pre-Clearance Process
    Configurable Rules Engine
    Automated Capture of all Trades
    Trade, Holding and Account Attestation
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    Compliance Program Manager

    Compliance Calendar Automation
    Disclosures, Attestations & Affirmations
    Testing and Due Diligence
    Dashboards
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    Other Compliance Solutions

    Risk Manager
    Policies and Procedures
    Enterprise and Political Contributions
    Enterprise, Gifts and Entertainment
    Learn More    
     
     
    Latest Press Releases
    25 October 2013
    Press Release Thomson Reuters Announce Strategic Software Partnership with TerraNua.
    23 October 2013
    Press Release TerraNua Launches MySuitabilityOffice compliance tool.
    28 February 2013
    Press Release TerraNua Announces Strategic Partnership with Kinetic Partners.
     
     
    Latest Resources
    Webinar - Meeting FSA Conflicts Standards for UK hedge Fund Managers
     
     
    White Paper - Practical data considerations in selection of personal trade monitoring rules
     
     
    Testimonials
    "MyComplianceOffice is now the centre of our compliance program. During a recent FINRA examination it cut the time taken by the regulators from over a week to just a few
    days
    "
    CCO Broker Dealer Client
     
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