Managing employee conduct and ethics obligations across an investment professional population is inherently complex. My Compliance Centre brings the moving parts together in one integrated system.
What It Does
Conflicts of interest, gifts and hospitality, personal account dealing and fit and proper attestations are individually manageable. Managing all of them consistently across a population of investment professionals – where individual conduct is under regulatory scrutiny and the evidence of proper oversight needs to be immediate – is where the administrative burden compounds. My Compliance Centre’s Employee Compliance and Ethics capability brings these obligations together in one integrated system. Employees interact directly with the platform to submit disclosures, complete attestations and request approvals. Compliance teams review, approve or decline, and a complete, timestamped audit trail is maintained automatically. Nothing relies on email chains or manually updated spreadsheets.
Key Capabilities
Conflicts of interest – disclosure, review, approval and ongoing management in a structured workflow
Gifts and hospitality – declaration, approval and consolidated register maintained automatically
Personal account dealing – pre-clearance requests, approvals and audit trail (see also the specialist PA Dealing module for complex requirements)
Policy and fit and proper attestations – deployed across your employee population with automated reminders and completion tracking
Consolidated management information across all employee compliance obligations
Automated reminders for periodic declarations and renewals
Complete audit trail maintained automatically — every submission, decision and action timestamped
What This Means in Practice
Your employee compliance obligations are managed consistently across your entire population. Evidence of proper oversight is maintained automatically rather than assembled retrospectively. When the FCA or an auditor asks for evidence of your employee conduct framework, it is in the system and immediately accessible.
Frequently Asked Questions
Employee compliance and ethics covers conflicts of interest, gifts and hospitality, outside business interests, personal account dealing and fit and proper attestations. These are individually manageable but compound when handled across a whole population on spreadsheets and email. My Compliance Centre brings them into one integrated system: employees disclose, declare and attest directly through the platform, compliance reviews and approves, and a complete, timestamped audit trail is maintained automatically across every obligation.
Employees submit conflicts of interest disclosures directly through the platform, your compliance team reviews and approves or declines them, and the disclosures are held in a structured, ongoing record. The register is maintained automatically and stays current, so you have a single view of conflicts across the firm rather than a picture assembled from email when someone asks.
Gifts and hospitality are declared by employees through the platform, reviewed by compliance, and held in a consolidated register that updates automatically. Across a large team, automated reminders prompt declarations and you have a single, current view – so the register reflects reality rather than depending on people remembering to log entries.
Fit and proper attestations are deployed to the relevant employees through the platform, who complete them directly. Automated reminders chase anyone who has not completed, completion is tracked in real time, and the record of who attested and when is held automatically – so you are not chasing responses manually or maintaining a separate spreadsheet. Critically, unexpected responses are flagged to the compliance team for resolution.
The Employee Compliance and Ethics capability brings together conflicts, gifts and hospitality, fit and proper attestations and straightforward personal account dealing in one integrated system. The specialist PA Dealing module is for firms with more complex personal account dealing requirements – instrument types, holding periods and restricted lists – that need a dedicated tool. Firms with simpler needs use the PA dealing capability within employee compliance. Firms with complex needs use the specialist module.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
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