EFFECTIVE CONFLICTS COMPLIANCE MANAGEMENT

Conflicts Compliance

Streamline your employee supervision and code of conduct compliance with Conflicts Compliance, and give your organization the tools to manage heightened global regulatory pressure.

Compliance Program Manager (2:40)

One centralized solution

With Conflicts Compliance, you can automate the monitoring of employee personal trading, gifts and entertainment, outside business activities, and other conflicts of interest disclosures. Furthermore, the solution is uniquely positioned to capture, monitor, and investigate your firm’s trade data to ensure effective compliance of sales practices, suitability of investments, insider trading, and other trade surveillance activities.

Stay compliant and minimize the risk of compliance issues affecting your organization’s reputation, enabling your compliance staff to focus on higher value compliance activities. 

Conflicts Compliance – core components

Compliance Program Manager
Build a robust compliance calendar with innovative scheduling features, and keep your completion tracking in a secure, centralized location. Design disclosure forms covering anti-bribery, gifts and entertainment, trade monitoring, and political donations, and expand the view of your compliance program activities on an interactive dashboard.
Gifts and Entertainment Manager
Automatically ensure employees are complying with anti-bribery and corruption rules. Review gift and entertainment pre-approval requests submitted by employees, and implement alerts for the easy management of policy exceptions.
Personal Trade Manager
Automate employee personal account dealing and insider trading management, and capture employee pre-clearance and post-trade activity electronically. Evaluate employee trading activity against restricted lists, insider trading rules, excessive trading restrictions and other conflict scenarios, and send single, regular assignments to employees that allow them to attest to their accounts, trades, and holdings.
Portfolio Surveillance Manager
Protect your organization from potential reputational and financial damages by managing surveillance across the organization’s trading portfolio. Monitor the investment products of clients and households for potential breaches, conflicts of interest, market abuse, or breaches in fund mandate rules, and ensure the use of a coordinated resolution of alerts.
Political Contributions Manager
Review your organization’s bespoke political contributions forms, and execute pre-clearance checks and confirmations for fulfilled contributions. Uncover violations via a customized rule engine, employing such request settings as auto-approve, auto-deny, and escalate.

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