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About
The Personal Trading Control Center™ (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 include the distribution of certifications and forms, gift & 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.