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Employee Personal Trading Software

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Features

• Approvals and Affirmations
• Questionnaires and Attestations
• Task Management & Workflow
• Personal Trading
• Document Management
• Case Management
• Dashboard

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

Pre-Clearance Process

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

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

Steps to Automating the Trade Pre-Clearance Process Using
MyComplianceOffice Software

1. Configure the Software's Rules Engine with the Pre-Clearance Rules

The rules engine can easily be configured with the trade pre-clearance rules. Specific trade pre clearance rules can be applied to users or groups of users within the firm. Rules can be set up to auto approve, auto reject or escalate trade pre-clearance requests based on the criteria of the rule.

2. Configure the Software's Trade Pre-Clearance Workflow

The software can be configured to route trade pre clearance requests to the appropriate users or groups for review.

3. Configure the Software to Securely Read the Firm's Restricted or Watch Lists

The software can be configured to read the firms restricted or watched lists. The call to the firms trading universe is designed to ensure that the identity of all underlying securities remain secret and are not revealed to either the MyComplianceOffice product or any Terranua employees.

Benefits of Employee Personal Trading Software

• The software provides significant savings on costs of a firm’s compliance program with automation.
• The software enables easier and more effective oversight and monitoring by compliance personnel.
• The software reduces risk of compliance issues with automation and easier oversight.
• The software ensures compliance with the policies and procedures that are appropriate for the firm.
• The software demonstrates the culture of compliance within the firm to prospective investors.
• The software adapts to changing SEC, FINRA, FSA and other compliance requirements and to the firm’s changing business model.
• The software 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.
• The software ensures all personal trade monitoring data is readily available online for review and SEC audit purposes.
• The software integrates with MyComplianceOffice COMS system. Learn more about COMS > >

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