MyComplianceOffice helps Registered Investment Advisor firms to monitor all Employee Personal Trading through automation of the compliance office function. The surveillance software minimizes paperwork thru automated monitoring of all employee trade requests and trades holds data. The surveillance tools manage the compliance office rules in a cost-effective, efficient workflow system. The personal trading surveillance program mitigates risk of employee non-compliance for registered investment advisor firms reporting to the Securities and Exchange Commission.All employee personal trade requests are checked against pre-configured rules for a potential Code of Ethics breach or a Conflict of Interest violation. The surveillance software is used by broker-dealers and investment advisors across the Globe.
Automated Compliance Office Surveillance
Monitoring employee personal trade requests and holds data will detect suspicious personal trading activity for compliance office interventions, approval or trade request denial by the firm’s compliance office team.
The personal trading surveillance software can capture 100% of all employee personal trade requests or trade holds data utilizing multiple trading data capture methods.
Compliance Officers can set pre-clearance rules to help investment advisors with specific personal trade requests to ensure that both the employee and the firm remain compliant with financial regulator rules. Employee trade requests automatically trigger a rules engine pre-clearance of the trade activity but, crucially, the surveillance software’s flexibility ensures that all personal trade request data is retained in a centralized data repository for post trade event rule inspection by the compliance team.
Compliance automation of all employee personal trade requests and all other personal trading activity will alert compliance office teams whenever there is a potential breach of the registered investment advisor firm’s Code of Ethics or Conflict of Interest policies.