Monitor firm-wide activities and MNPI to identify potential conflicts of interest

ComplySci’s Compliance Control Room is an integrated solution that tracks firm activities alongside employee activities to proactively identify potential conflicts of interest and market abuse. By associating all relevant deals, meetings, wall-crosses, communications, trades, G&E disclosures, and outside business affiliations on a single platform, ComplySci’s Compliance Control Room ensures complete conflict coverage.

The ComplySci Control Room facilitates:

  • Deal & Activity Logging: Collect and organize information on firm deals, employee meetings, and MNPI access
  • Wall Crossing: Facilitate a request and disclosure workflow for employee wall-crossing
  • Conflict Checks: Automatically identify instances of market abuse or other potential conflicts
  • Restricted List Management: Seamlessly add deal-related securities to restricted lists, and flag securities that should be added to a list
  • Reporting and Audit Trail: Easily export insider lists and a timeline of firm deals alongside related activities and communications
  • 360 Degree Access: View all information related to a particular employee or company, for 360 Degree Employee and Company Views