Control Room Software

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

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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
  • Employees can easily add records related to deals and MNPI request/notify Control Room about MNPI or wall crossings
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