CMC:Insider Compliance

Is there a cost effective way of monitoring all your trading activities?

Monitoring trading activities for insider dealing can be a complex and time consuming task. The CMC:Insider Compliance module monitors proprietary, customer and staff trading, empowering your Compliance Officers with an extensive view of all trading activities within your 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.

Main features

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 Add-on

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

 

 

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Control

Provides global management control of all insider dealing activities

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Detection

Alerts you at an early stage and delivers deep insight into Insider Compliance incidents

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Efficiency

Reduces manual processing and increases operational efficiency

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Compliance

Fulfils legal requirements and responds to new regulatory changes

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Protection

Protects your firm’s reputation and reduces risk

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11 scenarios

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.

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SoftSeq has certified the Security Compliance of CMC:eSuite with all applicable requirements of OWASP Application Security Verification Standard Level 2, version 3.0.1

A full methodology is available on request.