M3Live™
M3Live™ is an end
to end solution that manages a trading organization’s compliance
against regulatory agencies. The solution is based on our metaController™
product and Infralytics™ methodology coupled with real world
compliance expertise. M3Live™ monitors, manages, and mitigates
real and potential conflicts between regulatory requirements and
an Organization’s transactions, people, disclosures and
activities. The M3Live™ provides the transparency, tools
and security needed to manage reputation, operational and financial
risk. The modules included are:
• Conflict of Interest
• Silo Management
• The Conflict Rules Engine
• Research Disclosures
• Watch & Restricted List
• Directorship
Conflict of Interest
The COI module is a comprehensive tool that monitors all Material
Non Public Information, (MNPI) that individual Business Units
capture. With a combination of Business Unit application interfaces
and customized Pre-Clearance screen, the Control Room can make
intelligent decision based on key factors that comprise potential
conflict issues; People, Companies, Industries and Activities.
Silo Management
Silos can be created to capture the individuals who are assigned
to the specific Deal types. The information collected will ultimately
be used to monitor potential conflicts. A complete time and date
stamp included in the audit trail is maintained as a matter of
record. Any change of events and the initiator is capture within
the system.
Conflict Rules Engine
The Conflict Rules Engine allows the Compliance team to create
the necessary values that must be evaluated for each of the business
units. The CRE will ultimately capture the Transaction Deal information
and alert the Compliance team to potential conflicts. Many of
the following areas can be monitored:
• Financing
• Holdings
• Counter Party
• Advisory/M&A
Research Disclosure
Company’s that provide Research, Opinion Letters or Forward
Looking Statements must be able to provide disclosures that effect
the types of business activities, spousal affiliations and holdings
that directly relate to the information be provided. The Research
module assist and identifies these disclosures and provides correlated
the necessary statements need to maintain disclosure reporting.
Directorship
Many influential executives who provide guidance and Board Level
representation have legal obligations to disclose affiliations.
Additionally, we provide a comprehensive tool that continually
collects and monitors the information provided by the executives
against the repository of information being transacted across
Company business activities.
Watch & Restricted Lists
Watch & Restrict list are typically kept in private unconnected
applications like Excel or Access database. These repositories
are highly guarded and are rarely integrated. M3Live™ incorporated
secure data management with the interoperability and allows for
integrated management of this valuable information. M3Live™
automatically moves specific deals into the restricted list and
from the restricted area to the Watch list. These lists can be
managed either globally or regional.
