- Surveillance of proprietary, customer, and staff trading
- Insider registers and Insider List management
- Watch list and restricted list management
- Front/Parallel running
- Personal account dealing
- Trading before ad hoc news
- Research-based Conflicts of interest Management
- Monitoring effectiveness of Chinese Walls
- Historical data storage and tamperproof audit trail
CMC:Insider Compliance
The CMC:Insider Compliance module provides surveillance of proprietary, customer and staff trading, giving the Compliance Officer an extensive view of all trading activities within the organization. The solution delivers some standard scenarios, each easily configurable according to your organization’s specific needs. CMC:Insider Compliance supports cost-efficient, timely management of insider alerts with intuitive, standardized workflows.
Key Features
Much more. Download b-next CMC:Insider Compliance Brochure
Benefits
- Global management control of all insider dealing activities
- Early alerting and deep insight into Insider Compliance incidents
- Reduced manual processing and increased operational efficiency
- Fulfillment of legal requirements and response to new regulatory changes
- Reduced risk and protection of your firm’s reputation
News
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September 2011
Risk managers lack tools to monitor rogue trading - Sep 2011
