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ACA’s Personal Trading Compliance (ACA-PTC™) provides a personal trading compliance solution combining the benefits of ACA’s premium consulting services with the robust technology offered by Compliance Science, Inc.’s market-leading code of ethics reporting solution, Personal Trading Control Center™ (PTCC™).
PTCC is a web-based application that allows compliance departments to automate the complete review of their employee personal trading and code of ethics activities. PTCC combines a front end for entering proposed employee transactions with a business rules engine that validates these trades against the firm's defined rule sets and current trading activity, allowing the supervisor to check for employee conflict of interest such as front running and insider trading.
PTCC also provides the functionality to effectively monitor a firm’s code of ethics program to include the distribution of certifications and forms, gift and entertainment tracking, political contributions tracking, outside business affiliations tracking, and supervisory reporting.
In addition, PTCC automates the receipt of employee trade confirmations from dozens of broker dealers, thus removing the compliance group of the tedious task of opening employee account statements and confirms.
PTCC provides the controls that support the scrutiny requested by the regulators. PTCC will let you do much more and pay much less while significantly reducing your operating costs.
To request more information on ACA’s personal trading compliance services or a personalized proposal for assistance with compliance needs, call Damon Zappacosta at (212) 951-1030.
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