Control Room Compliance

MCO's Control Room Compliance Solution is an enterprise conflict of interest solution that provides an effective way for firms to manage the flow of sensitive information, review investment banking deals and private transactions for potential conflicts, define the associated restrictions, manage MNPI and insider lists, manage research activities,  while capturing a complete compliance review for auditing and regulatory reporting purposes from a single, centralized platform.

With our Control Room Compliance Solution you can:

  • Review investment bank deals and private transactions,
  • Evaluate potential conflicts,
  • Define restrictions, and
  • Capture compliance reviews for reporting purposes and more.
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Tags:
control room compliance, deal review management, insider list management, mnpi management, material non-public information management, insider trading