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Deal Shield gives compliance teams control over who knows what and when throughout a deal, without making that control a bottleneck.
For firms managing frequent deals, wall crossings and sensitive information across teams.
The SEC expects firms to maintain and enforce policies that prevent misuse of MNPI. FINRA expects supervision of information barriers and restricted lists.
SEC | FINRA | MNPI | Information barriers | Exam-ready
We had the policies. What we did not have was proof we followed them.
WHY DEAL SHIELD
Unlike email and spreadsheets, Deal Shield does not just record policy. It enforces it.
Restrictions happen automatically the moment a security is added to a list. Trading blocks, research blackouts and coverage restrictions do not wait for a manual step. The system acts before anyone has a chance to slip through.
Deal teams log their own deals. Compliance reviews and approves instead of doing data entry. Deal teams provide the required description and submit wall-crossing requests themselves.
Every wall crossing, approval, insider acknowledgement, restriction and attestation is captured as it happens. There is no reconstruction at review time because the record has been building the whole time.
WHAT MAKES IT DIFFERENT
Required before deal access is granted.
Periodic re-attestation keeps accountability current.
Documented approval workflows for every deal.
Five permissioned personas, so the right people see the right things.
One non-bypassable path, with record lock and automatic list end.
Shared Security Master, watch and restricted list sync, and conflict checks against employee trading and code of ethics data.
THE DIFFERENCE
Most firms have policy. What they lack is enforcement.
Any firm that manages frequent deals, wall crossings or market soundings, has private-side and public-side teams that need separation, and is running compliance on email and spreadsheets that are starting to break.
Most firms have policy but lack enforcement. Deal Shield makes enforcement automatic, and the work moves to where it belongs: deal teams log their own deals, and compliance governs.
Deal Shield shares the Security Master, syncs watch and restricted lists, and runs conflict checks against employee trading and code of ethics data.
BOOK A DEMO
Walk through a deal from intake to closure and see what enforcement looks like when it is automatic.
✓ See restrictions go up automatically
✓ Watch a wall crossing from request to acknowledgement
✓ See the record an examiner would ask for