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Submitted URL: https://www.mycomplianceoffice.com/
Effective URL: https://mco.mycomplianceoffice.com/
Submission: On December 08 via manual from US — Scanned from DE
Effective URL: https://mco.mycomplianceoffice.com/
Submission: On December 08 via manual from US — Scanned from DE
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* Upcoming Webinars
* Customer Support
* Sign In
* Products
* Know Your Employee (KYE)
* Personal Trading Compliance
* Gifts, Entertainment and Hospitality
* Political Contributions and Donations
* Outside Business Activities
* Authorization, Registrations, and Licensing
* Role Monitoring and Accountability
* Compliance Program Management
* Connected Persons and Relationships
See Pricing
* Know Your Transactions (KYT)
* Trade Surveillance
* Deal and Engagement Review
* Insider and MNPI
* Suitability
See Pricing
* Know Your Third Party (KYTP)
* Third Party Risk
* Third Party Approvals
See Pricing
* Know Your Risk (KYR)
* Regulatory Change Manager
* Compliance Library Manager
* Compliance Assessment Manager
* Assurance Data Manager
* Attestations and Role Manager
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SOLUTIONS OVERVIEW
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EXPLORE SOLUTIONS
Compliance Oversight
Understand your firm risk profile
ESG Compliance
Monitor ESG risks
Anti-Bribery & Corruption
Identify potential misconduct
Senior Managers & Certifications
Meet the regulatory obligations of SMCR
Conduct Risk
Monitor conflicts of interest and conduct risk
Control Room Compliance
Manage deal-related conflicts
Pay-to-Play Compliance
Monitor political contributions and donations
Conflicts of Interest
Help maintaining the conduct of the firm
Crypto Compliance
Avoid cryptocurrency conflicts of interest
Small Firm Compliance
Complete solution for small firms
Corporate Compliance
Address the needs of regulated organizations
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STREAMLINE YOUR COMPLIANCE OPERATIONS
One powerful Compliance Management Platform that tackles tough challenges for
financial firms, all in one place and with one login.
Compliance Built Better.™
Download Brochure See All Products
MCO CROWNED DIGITAL TECHNOLOGY COMPANY OF THE YEAR 2022 AT TECHNOLOGY IRELAND
INDUSTRY AWARDS
Read more
BECAUSE COMPLIANCE SHOULDN'T BE SO HARD.
Our mobile app is an intuitive and simple way for employees to comply with the
firm's compliance policies.
Learn more about mobile compliance
Compliance Built Better.™
GOVERNANCE AND OVERSIGHT WITH KYR
Easy to use to gain a aggregated view of risk. Financial services firms apply
KYR to help compliance teams set regulatory priorities, identify gaps in
policies and procedures and streamline operations.
Know Your Risk
THERE’S NO EXCUSE FOR NON-COMPLIANCE
GO WITH
Next generation compliance management software made to help manage your firm’s
employee conflicts and other regulatory risks.
Learn More
WHAT IS YOUR CHALLENGE?
Conflict of Interest Management
Insider List Management
Control Room Compliance
Mobile Compliance for Employees
Senior Managers & Certification Regime
See All Areas of Concern
Learn how MCO helps global, highly regulated firms build long-term compliance
solutions.
Solutions Overview Visit our Blog
Numbers don't lie. With a growing customer base and 16+ years of experience
building and perfecting our compliance management software, the numbers tell a
story of promises delivered.
Client
Countries
105
Database
Users
1000 K
Rules Executed
Yearly
90 M
Records Processed
Yearly
800 M
WHY CHOOSE MCO?
We understand that making a change, means taking a risk. Whether moving from a
manual process or replacing a system, your concerns are ours. You can trust MCO
to know the stakes and strive to define the right journey for your firm.
Fully Integrated Platform
Modular Approach
Affordable
Easy to Use
Customer Support
THE POWER OF ONE
No more swivel chair compliance. Complete access to all your work in one place.
One portal with one login, one data source and an unprecedented level of risk
control.
BUILD IT YOUR WAY
No two companies have the same regulatory requirements, but all require
technology that works to their specification. MyComplianceOffice modular
approach means purchase what is needed today and know that tomorrow's need can
be easily added.
GET MORE FOR LESS
SaaS technology is less costly to buy and install. MCO's platform with central
data center for all compliance modules means a cost-efficient and proactive
approach to managing regulated activities.
ENHANCE A CULTURE OF COMPLIANCE
User adoption is important. A simple, modern user interface combined with
minimal clicks makes it very easy for employees to use. System administrators
can quickly customize documents without IT involvement.
MAKE IT WORK FOR YOU
With clients in over 80 countries, MCO offers more extensive global support
capability than the competition, with 24 x 7 tech support and 20 x 5 customer
support.
KNOW YOUR EMPLOYEE (KYE) EMPLOYEE COMPLIANCE
Automate monitoring and approval of employee compliance activities with an
intuitive interface enabling fulfillment of compliance obligations with minimal
effort.
* Gifts and hospitality
* Political contributions
* Outside business activities
* Authorizations, registrations and licensing
* Personal trading
* Attestation and certifications
Learn More about KYE
EMPLOYEE COMPLIANCE PRODUCTS
Employee Personal Trading
Gifts & Hospitality
Authorizations, Registrations & Licensing
Outside Business Activities
Political Contributions
KNOW YOUR TRANSACTIONS (KYT) TRANSACTION SURVEILLANCE
The issue of conduct risk is especially sensitive when it originates within the
core financial transactions of a firm. KYT helps firms mitigate risk that can
originate from breaches in market manipulation, insider trading, suitability,
conflicts of interest, fund mandate and investment banking activities.
Learn More about KYT
TRANSACTION SURVEILLANCE PRODUCTS
Insiders and MNPI
Trade Surveillance
Deal Review Management
Control Room Compliance
Suitability
KNOW YOUR THIRD PARTY (KYTP) THIRD PARTY RISK MANAGEMENT
Manage and monitor the risks associated with third parties. Simplified approach
with streamlined technology improves internal processes while meeting increased
regulatory and audit scrutiny.
* Third party on-boarding activities
* Initial and ongoing third-party data management
* Ongoing third-party due diligence
* Anti-bribery / Anti-corruption program
Learn More About KYTP
INTEGRATED FINANCIAL SERVICES COMPLIANCE SOFTWARE
Successful compliance management for financial services requires that firms
track and record the activities of a broad range of individuals, from internal
employees, senior executives and staffers to external customers, vendors, and
other third-party affiliates. Most firms have multiple activity compliance
management systems that track regulatory activities and identify risky behaviors
occurring in and between organizations.
Unfortunately, multiple regulatory compliance software systems often fail to
adequately assess data because they don’t monitor all behaviors and miss vital
information altogether (data gaps), or when more than one system monitors and
reports the same behaviors (data redundancy). Essentially, compliance management
systems fail because they don’t talk to each other—the right hand doesn’t know
what the left hand knows.
When systems fail, the risk of non-compliance soars, firms can suffer hefty
fines, regulatory sanctions, and even criminal charges.
Fortunately, firms can avoid compliance hazards by using MyComplianceOffice, one
compliance platform that provides many compliance products all in one place and
with one login.
A centralized Compliance Management platform provides a complete set of
integrated data, compliance evaluators can identify problems early and mitigate
risky behaviors before they escalate to critical levels.
Implementing an all-inclusive compliance management software not only helps a
firm better manage compliance risk, it also demonstrates to examiners and
regulators that they are serious about compliance management. Examiners look
favorably on firms that leverage compliance software to manage risk proactively.
Firms that use such systems greatly benefit with significantly fewer compliance
violations and costly risks.
Learn More
"Under pressure to reduce spending, we still needed to ensure compliance
standards. The compliance products available on the MyComplianceOffice platform
allowed us to do a better job managing compliance, with less effort and remove
antiquated compliance software that was no longer needed."
Chief Compliance Officer - Large US Broker Dealer
CONDUCT RISK
Whitepapers & Webinars
MCO has a deep bench of technologists and an extensive network of compliance
experts who regularly provide best practices and latest trends in regulatory
compliance.
In this paper, MCO CEO, Brian Fahey, presents a fuller explanation of conduct
risk and compliance technology's impact on this challenge.
Download See All Guides
EXPLORE LATEST INSIGHTS AND EDUCATION RESOURCES FROM MCO
WEBINAR
SEC EXAMINATION PRIORITIES AND THE APAC IMPACT IN 2023 - ON-DEMAND WEBINAR
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BLOG POSTS
RECORD SEC ENFORCEMENT IN 2022 BRINGS STEEP PENALTIES FOR MISCONDUCT
Read More
BLOG POSTS
YOUR SEC EXAMINATION PRIORITIES GUIDE + THE APAC IMPACT IN 2023
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