Solution introduction

Manage the company's code of conduct activities and mitigate misconduct risk across multiple business areas with one, fully integrated solution

Our KYE suite for employee compliance engages employees with a simple, intuitive interface so they can fulfill their compliance obligations with a minimum of effort

Employee compliance encapsulates many types of potential conflicts of interests. The MyComplianceOffice platform fully integrates functionality and data in a unique way to ensure nothing is missed and that you really Know Your Employee.

MCO Overview

Business Intelligence & Practice Management, Compliance & Regulation, Market & Business Infrastructure

11/08/2020

Learn About MCO and how we can help your firm to manage Conduct Risk....

Features

Personal trade management
Automate employee personal trade policies in one solution with 100% trade capture capability

Gifts, entertainment and hospitality
Easy, automated monitoring of gifts and hospitality activities with comprehensive submission and approval processes

Authorizations, registrations and licensing
Ensure all licensing and continuing education are up to date. Stop manually the high volume of data associated with authorizations, registrations and licensing compliance.

Outside business activities
Automate the capture and management of the outside business activities of employees, enabling an efficient identification, monitoring and disposition of potential conflicts of interest.

Political contributions and donations
Automatically monitor employee political activities to ensure they do not exceed donation limits across different countries, lines of business, offices, and user groups.

Mobile compliance for employees
The MyComplianceOffice app improves the timeliness of employee requests and compliance engagement.

Key Data

PRICING
  • Subscription (SaaS)
Implementation Methods
  • On-premise or hosted
Type of Clients
  • Asset Managers
  • Bank Wealth Managers
  • Brokers/Broker-Dealers
Client Regional Presence

MCO Know Your Employee (KYE)

Please click the button below to connect with MyComplianceOffice

Connect with MyComplianceOffice

Subscribe to our newsletters

The Wealth Mosaic publishes a range of newsletters each month to help both wealth managers and solution providers stay on top of the latest developments in the global wealth management sector. Click below to sign up to those that are of interest.