Head of Communications
Compliance staff is focusing more and more on the monitoring of stock exchange transactions. In this respect the subject of market manipulation does not only include customer transactions but also compliance with internal rules in respect of own transactions entered into by members of staff.
The defined objective is to record any insider relevant information and to monitor the information carriers. The quiet or restricted period and the research guidelines are to be monitored as well as the dissemination of analyses and recommendations in the area of research.
Own as well as customer transactions can be incorporated in the monitoring reports issued to corporate customer advisers, asset managers and Treasury dealers.
In practice, manual monitoring is not possible given the high volume of transactions. The »mlds risk detection« software solution supports the compliance department through the electronic monitoring of relevant stock exchange transactions and controls via defined processes the clarification of any suspicious cases. The process is automatically controlled and involves subordinates where necessary.
»mlds risk detection« can be implemented as a standalone solution or can be integrated into the »mlds« anti-money laundering solution of Innovations.
© Bosch Software Innovations GmbH