Deal Review Compliance

It’s important to manage potential conflicts of interest in investment banking deals. Control rooms or compliance departments need a proactive way to manage this process. MCO provides an effective way for firms to review investment banking deals, evaluate potential conflicts, define the associated restrictions, as well as capture the compliance review for auditing, regulatory and reporting needs. This comprehensive solution can also audit the communication by the control room/compliance review team to the deal team members, including required disclosures.

Deal Review Management is a component of our Know Your Transactions (KYT) platform which is used to address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios.

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Tags:
Deal Review Compliance, Deal Review Management, Control Room Compliance, Compliance Review