Control Room Compliance for Deal and Conflict Management

A Control Room compliance solution helps financial services firms monitor, track, and restrict access to sensitive information. It supports firm deal oversight, insider list management, and compliance with regulatory requirements related to material non-public information (MNPI) and conflicts of interest.

Key features include:

• Restricted and watch list management
• Deal creation and tracking workflow
• Conflict of interest checks using normalized data from FactSet
• Customizable dashboards and reporting
• Employee data submissions for MNPI and deal reporting
• Integration with ACA’s Employee Compliance (EC) module for conflict checks on personal trading, gifts/entertainment, outside affiliations, and more
• Integration with ACA’s Electronic Communication Surveillance (eComms) module for conflict checks across connected channels
• Alerts for compliance gaps and breaches

Control Rooms solutions help prevent insider trading, mitigate conflicts of interest, and protect material information. They support compliance with regulations while reducing the risk of fines and reputational damage.

Our solution monitors, tracks, and restricts MNPI flow across business units using access controls, audit trails, and alerts. It ensures documentation is complete and helps prevent unauthorized disclosures or wall-crossing breaches.

Yes. The system issues alerts for missing MNPI documentation, unapproved wall crossings, and conflicting trading activity—helping resolve issues before they become violations.

The platform supports compliance with regulations such as SEC Rule 10b5-1, EU MAR, FCA, MiFID II, and FINRA requirements. It helps firms demonstrate oversight, recordkeeping, and decision-making transparency.

Yes. The platform automatically generates insider lists and comprehensive audit logs in regulator-approved formats, simplifying responses to inquiries or inspections.

The system conducts conflict checks across other ComplianceAlpha^® modules, flagging conflicts related to deals, employees, or companies, and displays relevant linked data to help resolve issues quickly.

We leverage normalized entity data and corporate hierarchies from FactSet to streamline conflict checks and ensure accurate relationship mapping for list management.

Yes. Firms can customize fields, workflows, and approval processes. Dashboards and reports are also configurable to reflect specific compliance policies and risk frameworks.  

Yes. It supports multiple entities, global teams, and complex organizational structures. It can scale with your organization while maintaining consistent compliance workflows and oversight.

Yes. It features intuitive dashboards and workflows for both employees (e.g., submitting MNPI or pre-clearance requests) and compliance staff (e.g., monitoring and reporting).

Through ComplianceAlpha Analytics, the system provides audit trails and customizable dashboards and reports to support internal and regulatory audits.

Most firms are onboarded within 8-12 weeks, depending on firm complexity and system requirements. Contact us for a tailored implementation timeline.

We offer ongoing support including system updates, regulatory-driven enhancements, troubleshooting, and access to a client success manager who understands your compliance program.

Our price is based on firm size, number of users, and feature configurations. We work closely with clients to ensure the solution meets budget expectations while delivering long-term value. Contact us for a tailored quote.

Firms typically realize faster conflict resolution, fewer manual errors, improved audit readiness, and more efficient compliance workflows—reducing risk and cost over time.