Is there a cost effective way of monitoring all your trading activities?
Save time and reduce the complexity of trade surveillance with CMC:Insider Compliance. This module monitors proprietary, customer and staff trading, empowering your Compliance Officers with an extensive view of all trading activities within your organization.
CMC:Insider Compliance offers the following functionality:
- 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 tamper-proof audit trail
Pre-Clearing is an additional feature for automating the approval process of employee’s personal transactions.
- Autonomous control of transactions based on internal compliance
- Check against all relevant watch & restricted lists
- Manual override on a case by case basis
- Detection of exceeding individual limits such as amount of requests or transactions over time
- Evaluation and feedback of employee queries within seconds and immediate feedback to the applicant
- Pre defined holding periods or maximum transactions amounts as additional parameters for evaluation
- Tamper-proof audit trail
Provides global management control of all insider dealing activities
Alerts you at an early stage and delivers deep insight into Insider Compliance incidents
Reduces manual processing and increases operational efficiency
Fulfils legal requirements and responds to new regulatory changes
Protects your firm’s reputation and reduces risk
Out of the box
Get your personal demo of CMC:Insider Compliance
Request a demo now to learn more about how CMC:Insider Compliance empowers your Compliance Officers with an extensive view of all trading activities within your organization.
b-next’s partnership with Refinitiv, formerly the Financial and Risk business of Thomson Reuters, provides clients with unparalleled data capabilities to support trading surveillance.
Data capabilities include:
- Thomson Reuters Machine Readable news, which delivers deep historical news archives and leading edge news analytics directly into CMC:Suite to seamlessly support surveillance.
- Thomson Reuters Tick History, which offers superior coverage of complete, timely and global microsecond tick data for ongoing surveillance monitoring. Other capabilities include seamless integration of over 400 global cross-asset exchanges.