Insider List & MNPI Management

Many deal teams, investment and compliance professionals use Excel spreadsheets to manually track insider lists. These manual methods are unstructured, inefficient and error-prone. 

MyComplianceOffice makes insider list management easier by enabling users to create insider lists, complete with individuals and roles/rights assignments, timeframes when individuals can access inside information as well as a cross-referenceable hierarchical database of securities listings and company information on tens of thousands of entities.

With MCO, compliance professionals can create and access insider lists in a matter of minutes. Such lists include people conferred with temporary access based on discrete events, such as a deal, corporate event and/or publication of financial statements or profit warnings. It also includes people who, by the nature of their roles, present permanent potential conflicts when exposed to MNPI. This would include deal or investment team members, senior executives and compliance professionals.

Importantly, unlike manual methods, automated insider trading lists support standardized data management formats for sharing insider lists in accordance with regulatory guidelines.  

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Tags:
Insider List management, MNPI management, material non-public information, Market Abuse Regulations, insider information