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Overview of
MyComplianceOffice System

 
 
 
 
 
 
 

Investment Managers

Compliance Program Manager helps Investment Managers to build and automate their compliance calendar program and manage conflict of interest risks.
 
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Compliance Solution for Investment Managers
 
 

Conflicts of Interest Management

  • The manual, time consuming activities in my compliance program are costing my firm a lot of money. What can I do to reduce these costs?
  • Potential Conflicts of Interest are a minefield that need to be constantly monitored. What can I do to manage these to make sure my company is not left exposed?
  • The costs of maintaining a compliance program are increasing significantly as the demands of the regulations increase. What can I do to control this increase or perhaps reduce the overall costs?
  • How do I implement a compliance program that will adapt to changing regulations?
  • Am I in a position with my current approach to respond to all of the regulators demands at next audit given the increased demand for burden of proof of completing activities?
  • Is the compliance program flexible enough to adapt to a changing business model, changing regulatory environment and changing personnel within the business?
  • Is the company fostering a culture of compliance today?
  • How can we ensure we are practicing effective oversight of the compliance program with the multiple data capture methods, monitoring, and IT solutions that we use today within the compliance program?
  • Are we sure that all required compliance activities are being completed?
  • How can I free up key compliance staff from spending more time compiling compliance data rather than analyzing the results to minimize risk to the firm?
 

Our Conflicts of Interest Solution

MyComplianceOffice Compliance Program Manager is specifically designed to allow Investment Managers and Stockbrokers to easily build and automate their compliance program and to detect and manage Conflicts of Interest.
 

Conflicts of Interest Risk Management

MyComplianceOffice combines the power and flexibility of approvals and affirmations, questionnaires and attestations, task-management and workflow, personal trading, document management, case management into a single, integrated, "easy to use" solution. A dashboard view of the entire compliance program provides quick access to critical data. The combination of these features enables:

  • Automation of the many various activities of the compliance program that are currently manual.
  • Capturing all information (documents, comments, etc.) associated with the activities.
  • Creating a single system of record for all compliance information for audit response.
  • Retrieving data easily for testing or audit purposes.
 

Long Term Compliance Platform

The flexibility of the tools in our solution allows you to modify policies and procedures as regulations change and as your business model evolves into new markets. Storing all data and documents in one solution ensures your firm is ready for audits, irrespective of changing personnel.
 

Compliance Automation Benefits

  • Provides significant savings on costs of a firm's compliance program with automation.
  • Enables easier and more effective oversight and monitoring by compliance personnel.
  • Reduces risk of compliance issues with automation and easier oversight.
  • Ensures compliance with the policies and procedures that are appropriate for the firm.
  • Demonstrates the culture of compliance within the firm to prospective investors.
  • Adapts to changing FSA and other regulators' requirements and to the firms changing business model.
  • Provides peace of mind that a/the firm has long-term, flexible system for compliance program.
  • The "Software as a Service" (SaaS) solution from MyComplianceOffice has:
    • No system costs.
    • Support included.
    • Upgrades provided without additional cost.