Manage Personal Account Dealing more effectively
- Customise and configure your own internal PA Dealing process.
- Manage the workflow using your preferred authorisation and approval levels.
- Hold employee portfolios records and ensure employees maintain them.
- Configure and optimise workflow for managing PA Dealing requests.
- Record trade confirmation information.
- Customise deal request forms to capture the information required by your firm.
- Record employee holdings for regular review.
- Build a Restricted List and automatically cross-reference it to all PA Dealing requests.
- Segregate information and reporting between the compliance team and the wider firm appropriately.
- Set reporting SLAs to ensure PA Deals are processed in line with your policies and procedures.
- Access 3rd party security lookup services.
Central to everything we do at My Compliance Centre is, of course, the functionality of our system.
My Compliance Centre has received a number of system updates for our FileChecker Module.
- Three new 3rd party security feeds have been added to the system to allow users to connect to 3rd party "hot lookup" services. This enables employees to search for specific securities and select from the third-party list to retrieve security type, currency, ISIN number etc.
- Some additional new functions have been added to the Security Register, to offer clients a multitude of ways to manage the Security Register and employee's holdings. Securities can be marked as private, employees can add unlisted securities and employee’s holdings can optionally be hidden.
- Securities can now be added without a security ID.
- Admin Managers can now add attachments to a PA deal after the PAD request has been completed.
- A new feature has been added to facilitate cancelling of trades.
Take a look at My Compliance Centre
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