Personal trade activity surveillance software from MyComplianceOffice
 
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Overview of
MyComplianceOffice Personal Trading Product

 
 
 
 
 
 
 

Personal Trading

THE MyComplianceOffice Personal Trading system saves you time and effort by enabling electronic capture of employee trades and automating the various compliance checks that firms need to carry out on this data.

The MyComplianceOffice automates your personal trading program and provides:

• The capability to capture 100% of all employee trade and holding data utilizing multiple data capture methods.
• Pre-clearance approvals.
• The flexibility to run a wide selection of pre-clearance and post trade rules.
• The capability to interface with your firms internal trading systems
• Attestations of employees accounts, trades and holdings.
• The ability to monitoring trading and holding data for each review period on all accounts.
 
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Personal Trading
 

Capture of Employees Trades and Holdings (Feeds and Statement Capture)

• Employee trading capture direct from financial institutions.
• Daily electronic downloads from more than 4,000 financial institutions.
• Other methods of electronic capture from US firms that do not provide electronic mechanism.
• Alternate methods of capture for non-US brokerage firms.

Rules Engine

• Standard set of rules available which are easily configurable to the parameters required by most firms.
• Flexible rules engine can be easily and quickly configured to handle almost any kind of rule or combination of rules.

The following diagram outlines some of the different categories of rules we can accommodate:

 
 
Individual Security
Restricted security list
Security watch list / Auto Approve/Deny security lists
Security Market Data (Prices, Volume and News)
Transaction type rules
Security Type
Security type restricted list
Security type approved list
       
       
Validate Pre-Clearance
Occurred
Check to validate that trade placed by employee
received Trade Pre-Clearance approval.
 
       
Insider Trading
Checks
Check Security Market Data (Prices, Volume and News)
to check for insider trading
 
       
Employee Trade Activity
Excessive trading of securities  
Monitor value of securities traded  
Monitor holding periods  
Custom rules  
Firm Trade and Holdings
Front Running  
Tail gating  
Custom rules Comparing employee trades vs
firm's tradings and holdings
 
 
 

Trade Pre-Clearance Process

• Allows compliance personnel to configure rules to auto-approve, auto-reject or escalate trade pre-clearance requests submitted by employees.
• Escalated pre-clearance requests can be easily routed to the appropriate approver for review.

Post Trade Exception Processing

• Electronic capture when an employee has executed a trade with their preferred financial institution.
• Compliance personnnel can use the trade frequency review functionality to monitor all alerts generated by the personal trade rules set up for the firm.
• Immediately, upon capture of the trade, all rules are run. If a rule is broken an alert is generated.
• Compliance personnel can quickly review alerts and resolve them where appropriate.
• Ability to monitor trading and holding data for each review period for all employee accounts.

Disclosures and Certifications

• Employees are easily able to disclose their brokerage accounts.
• Affirmation (or certification) of those accounts, trades and holdings can be scheduled to be completed at appropriate intervals.

Reporting of Personal Trading Activity

• All data on the system is easily filtered and can be exported in multiple file formats: .csv, Excel and .pdf.
• Easy access to internal compliance monitoring reports for all regulator audit requests.
 
 
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