Thomson Reuters Debuts Compliance Tool for Employee Supervision
The offering is designed to automate the monitoring and management of conflicts of interest and code of conduct issues within firms, including monitoring employees' personal trading, detecting potential insider trading, monitoring political contributions, gifts and entertainment, and employee attestations and disclosures.
Building on the launch of Eikon for Compliance Management, a version of Thomson Reuters' flagship Eikon financial markets desktop, Accelus Conflicts Compliance combines two modules that enable compliance managers to automate their compliance programs and reduces the time required to track employee trading activities.
Personal Trade Monitoring (PTM) simplifies the employee trade pre-clearance process; automates the capture of trade confirms from brokerages; reviews employee trading activity against restricted lists, insider trading rules, front-running, tailgating and other conflict scenarios; and facilitates annual employee attestations and disclosures related to personal trading.
Compliance Program Management (CPM) helps firms track employees' gifts and entertainment, political contributions and outside interests; automates employee attestations and disclosures; and maintains an audit trail of compliance tasks and cases for internal and external regulatory reporting.
"Accelus Conflicts Compliance takes a multi-disciplinary approach to monitoring and managing conflicts of interest that touch many points across an organization," says Andrew Neblett, managing director, enterprise risk management, Thomson Reuters. "This solution brings together a number of leading assets spanning Thomson Reuters extensive market data and content, our comprehensive eLearning solutions covering anti-money laundering, market conduct and fraud, as well as global regulatory intelligence to support the most comprehensive set of insider trading surveillance rules."
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