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Deal Shield is the control room for deal governance on the Comply Platform. It manages the full life of a deal in one system: intake, conflict checks, wall crossings, insider lists, restrictions, certification and closure.
For compliance teams answerable to the FCA, and the Senior Managers accountable under SMCR.
UK MAR Article 18 requires insider lists in a prescribed format, producible to the FCA on request. Under SMCR, named Senior Managers carry personal accountability for control failures.
UK MAR Article 18 | FCA SYSC | SMCR | Insider lists | Regulator-ready
The regulator does not just want to see policies. It wants to see that controls are embedded and automatic.
WHY DEAL SHIELD
Supervisors expect embedded, automated controls, not manual processes.
Restrictions apply when a security is listed, insiders acknowledge access before receiving information, and information barriers are established immediately.
Deal teams log their own activity and submit wall-crossing requests, while the system enforces obligations and allows legitimate activity to continue.
Every wall crossing, approval, acknowledgement, restriction and attestation is captured automatically, creating a supervisory-ready record and a clear path through compliance for deal teams.
WHAT MAKES IT DIFFERENT
Required before deal access is granted.
Periodic re-attestation keeps accountability current.
Documented approval workflows.
Five permissioned personas.
One non-bypassable path, record lock and automatic list end.
Shared Security Master, list sync and conflict checks against employee trading and code of ethics data.
BUSINESS OUTCOMES
An Article 18 record the FCA can request at any time, attributed to the right individual at the right moment.
No waiting on compliance to open a deal or update a list.
Deal volume grows without adding compliance staff.
THE DIFFERENCE
Every common pain point has a direct answer.
They work until they do not. The question is not whether the process functions day to day. It is whether you can produce an Article 18 list in the prescribed format, for a specific deal, on request.
So does every firm with a finding. The FCA’s SYSC expectations are about controls being embedded, not documented.
They are already doing the work, by email, through compliance. Self-service removes the wait, which is why deal teams tend to pull this forward rather than resist it.
Walk through a deal from intake to closure and see how restrictions, acknowledgements and approvals are captured as they happen. ✓ See restrictions apply automatically ✓ Watch a wall crossing from request to acknowledgement ✓ See the record behind your Article 18 insider list
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