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Employee Personal Trading Software

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Our Employee Personal Trading Software can capture, report and monitor all of your employees' personal trading activities in the most efficient and cost effective approach ensuring you are in accordance with industry regulations and your firms' policies and procedures. Automating the personal trading compliance process saves you time and money. Keep track of pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee holdings in a single, integrated system.

Pre-Clearance Process

Employees can submit Trade-Pre Clearance requests using the easy to use Pre-Clearance screens. Pre Clearance requests are run against the firms pre clearance rules and are either approved, rejected or escalated for manual approval.

Six Easy Steps to Automate Your Personal Trading Program

1. Configure Rules Engine

Our flexible rules engine can easily be configured. Each rule can be applied to a different stage of the personal trading process be it pre-clearance or post-trade or both. In addition each rule can be applied to a group or individual within the firm.

2. Implement Pre-Clearance Process

SEC Rules 17j-1 and 204a-1 require that all "Access Persons" receive pre-approval on certain investments. Our personal trading system automates the pre-clearance process allowing compliance staff to configure rules to auto-approve, auto-reject, or escalate pre-clearance requests submitted by "Access Persons".

3. Consolidate Employee Trade and Holding Data

Automated feeds of employee trades from all the main brokers combined with manual entry screens allow you to easily consolidate all employee trades and holdings and run a range of rules automatically.

4. Run Rules Against Firms Portfolio Trades/Customer Account Data

Our employee personal trading system can either import your portfolio trades or directly interface to your firms' trade and accounting systems to get answers to specific rules.

5. Implement Account, Trade and Holding Attestations

Conduct regular, mandated attestations of current personal accounts, trades and holdings by employees.

6. Review and Reporting

Review and resolve any exceptions generated as part of the rules processing. Violations of rules are automatically flagged and the interface allows easy capture of the resolution. Export the data for further analysis and check for trends in the data.

Benefits of Employee Personal Trading Software

• Provides significant savings on costs of a firm’s compliance program with automation.
• Enables easier and more effective oversight and monitoring by compliance personnel.
• Reduces risk of compliance issues with automation and easier oversight.
• Ensures compliance with the policies and procedures that are appropriate for the firm.
• Demonstrates the culture of compliance within the firm to prospective investors.
• Adapts to changing SEC, FINRA, FSA and other compliance requirements and to the firm’s changing business model.
• Provides peace of mind that firm has long-term, flexible system for compliance program.
• The "Software as a Service" (SaaS) solution from MyComplianceOffice has:
  • No system costs.
  • Support is included.
  • Upgrades are provided without additional cost.
• Ensures all personal trade monitoring data is readily available online for review and SEC audit purposes.
• Integrates with MyComplianceOffice COMS system. Learn more about COMS > >

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