“Having the Control Room allowed us to integrate everything into ComplySci, which meant it became a ‘one-stop shop’ for all things compliance.” – Iain Colquhoun, Sona Asset Management
For all financial institutions, and especially those with Private Equity and Investment Banking practices, managing the flow of sensitive information is a crucial step in preventing potential instances of market abuse, insider trading, and other conflicts of interest. Manage and mitigate Material Non-public Information (MNPI) risk with an integrated solution designed to improve visibility into potential conflicts at the firm and employee levels.
Track firm and individual activities in a single solution to streamline workflow, identify potential conflicts of interest and market abuse, track “wall crossing”, and centralize reporting with COMPLY’s Control Room.
Connect disparate data sets to create a holistic view of your compliance data and easily identify potential conflicts of interest and evaluate risk across an organization with COMPLY’s Conflict Check.
“Having the Control Room allowed us to integrate everything into ComplySci, which meant it became a ‘one-stop shop’ for all things compliance.” – Iain Colquhoun, Sona Asset Management
“As an investment firm, we have a lot of sensitive information about a variety of companies. At all times, we need to have control over and a view into employees’ personal holdings and trading activities.” – Private Investment Firm
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Track firm and individual activities in a single solution to streamline workflow, identify potential conflicts of interest and market abuse, and centralize reporting.
Download The Regulatory Compliance Technology Buyer’s Process to learn more about the step-by-step process to procure a new regulatory compliance technology.
