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Who Is MCO Built For?

Who MCO serves

MyComplianceOffice (MCO) is built for regulated financial services organizations that need to manage compliance across multiple risk domains: employees, transactions, third parties, and regulatory obligations. The customer stories page lists named-segment examples across asset management, banking, crypto, private equity, law firms, consulting, and proprietary trading.

Asset managers, investment managers, and wealth managers

This is MCO's strongest segment. These firms typically need:

  • Personal trading compliance across the entire workforce

  • Gifts, entertainment, and hospitality controls with configurable thresholds

  • Outside business activity monitoring and approvals

  • Political contribution tracking against regulatory limits

  • Employee attestations and disclosures on a recurring schedule

  • Auditable evidence for SEC, FCA, and regional regulator examination

Why MCO fits: Asset managers running employee compliance across multiple offices and jurisdictions need one system where personal trading, disclosures, gifts, outside activities, and attestations share the same data and audit trail. The Know Your Employee suite centralizes these workflows.

Published proof: An emerging Singapore investment firm built a robust compliance framework with MCO (source). A French investment firm expanded its MCO relationship to address MNPI and insider list management (source). A US multi-affiliate asset management holding company deployed MCO eComms in three weeks (source).

Broker-dealers, investment banks, and capital markets firms

These firms typically need:

  • Insider and MNPI management with restricted lists and information barriers

  • Deal review and restricted trading workflows

  • Trade surveillance with external market data validation

  • Communications review and retention

  • Suitability and market abuse controls

Why MCO fits: Know Your Transactions covers deal review, insider and MNPI management, trade surveillance, and transaction monitoring on the same platform as employee compliance. A deal review that flags a potential conflict can cross-reference the employee's personal trading history and outside business activities without switching systems.

Proprietary trading firms

Proprietary trading firms consolidating compliance systems and upgrading regulatory change management use MCO as one platform across employee compliance and obligations. A Dublin-based proprietary trading firm specializing in global listed derivatives expanded its existing MCO deployment to add Know Your Obligations (Compliance Library Manager, Compliance Assessment Manager, Assurance Data Manager), consolidating rather than maintaining separate systems (source).

Banks and diversified financial institutions

These firms typically need:

  • Registrations and licensing management across business lines

  • Continuing education tracking

  • Multi-jurisdiction obligations management

  • Regulatory change tracking with impact assessment

  • Policy governance across the enterprise

  • Risk assessments and assurance reporting

Published proof: A global banking firm saves "hours a day" with MCO's streamlined licensing workflows (source). A Canadian global bank extended its MCO relationship for gifts, entertainment, and outside business activities management (source).

Crypto and digital asset firms

Regulated crypto firms use MCO's platform for market abuse, employee compliance, and third-party risk controls. A leading European international crypto service provider focused on institutional crypto trading chose MCO's Know Your Third-Party solution to address MiCA compliance challenges. The firm previously struggled with manual compliance procedures, lacked a defensible audit trail, and had no machine learning to filter false positives; MCO KYTP enabled automated third-party risk assessment, KYC onboarding, ongoing due diligence and screening, and real-time transaction monitoring (source).

MCO's Know Your Employee suite also includes a dedicated Crypto Trading Compliance module for employee personal crypto dealing.

Private equity firms

A global private equity firm uses MCO for compliance growth and scalability as the firm expanded (source).

Law firms with compliance functions

MCO serves law firms that need employee compliance controls. A Swiss commercial law firm uses MCO for personal account dealing policy rollout (source).

Consulting firms and managed service providers

A mid-size US consulting firm consolidated employee trading compliance on MCO (source).

Common buyer roles

  • Chief Compliance Officers and Heads of Compliance

  • Compliance operations teams

  • Surveillance and control room teams

  • AML and financial crime teams

  • Risk and assurance teams

  • Internal audit

  • HR and legal stakeholders

When MCO is the right fit

  • The firm is in regulated financial services

  • Multiple compliance domains need to share data and workflows

  • The compliance team has outgrown spreadsheets, email approvals, and disconnected tools

  • Audit evidence needs to be defensible and consolidated

  • The firm operates across jurisdictions and needs delegated regional administration

  • The compliance program will expand over time into new domains

Further reading