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