Finance & Banking Insider Trading Solutions

Bring MNPI violations to light with proactive automated monitoring

Shield Control Room solves:

Infraction notices

No one wants to find out about violations from external sources months after it happens. Get proactive and catch infractions in real time. Before they turn into time bombs.

  • Real-time monitoring and proactive alerts

Wall crossing

The barriers between groups within your business need to be stronger – which means you need a way to catch leaks in real time.

  • Use HR and list management data to monitor ethical walls

Limited data access

You need complete visibility to proactively pinpoint MNPI breaches early – and an insider trading solution that can access those insights without waiting around for IT to provide specific datasets.

  • Real-time control room access to complete datasets

Complex lookback analysis

When deal and research lists update, you need a way to re-analyze communications without doing double work each time. Automated lookbacks mean you never miss a step – or lift a finger.

  • Automatically lookback when lists are updated
Shield for control room

Shield. InfoBarriers

Monitor the flow of MNPI in real time to stay ahead of risk. Manual, time-consuming monitoring is replaced by a proactive, automated system. So you can uncover violations before it’s too late.

Proactively monitor wall-crossing in real time
Define when, and where MNPI is shared with comprehensive alias lists and access controls
Improve SEC Rule 105 and FERC compliance by monitoring new and existing data

MNPI Surveillance

Proactively protect sensitive data from
reaching the wrong hands