Control Room Software

Monitor the flow of MNPI and identify potential conflicts of interest with our ComplianceAlpha® RegTech platform

Our Control Room Solution helps compliance and legal teams identify potential conflicts of interest, manage restricted securities, and mitigate insider trading risk.

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Manage and monitor the flow of sensitive information across your firm with ComplianceAlpha®

Key features

Designed to be your firm’s central repository for all public and private data, including data related to investment banking, private market deals, and other material non-public information (MNPI) such as wall crossings. Key features include:

Open architecture

Enables the exchange of data that is critical to employee-level and firm-level restrictions and conflict of interest checks
Integrates with ComplianceAlpha’s Employee Compliance and Market Abuse Surveillance Solutions
Integrates with third-party systems using REST APIs and webhook technology

Restrictions and screening list management

Manage multiple restricted lists including historical records as companies move across lists
Create custom-defined restrictions to individuals, firm portfolios, etc.
Enforce restriction time periods with flexible start and end dates
Send restrictions to screening lists in ACA’s Employee Compliance solution or third-party systems

Conflict of interest checks

Run conflict checks across different systems to quickly see conflicts related to Control Room records
See related information including the type of conflicted activity, linked companies, and linked employees

Dashboard, audit trail, and reporting

Build custom dashboards and reports with ComplianceAlpha Analytics
Records all system activity in the platform’s comprehensive audit trail

Normalized data

Control Room uses public and private data sourced from FactSet to normalize the data used for setting restrictions and conflict of interest checks across corporate hierarchies

Employee data submissions