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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®
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:
- 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
- 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
- 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
- Build custom dashboards and reports with ComplianceAlpha Analytics
- Records all system activity in the platform’s comprehensive audit trail
- 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
- Employees can easily add records related to deals and MNPI request/notify Control Room about MNPI or wall crossings