Employee Personal Trading System

Our Employee Personal Trading System 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 firm's 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.

Rules Engine

  • Individual Security
    • Restricted security list
    • Security watch list (escalated)
    • Auto Approve/Deny security lists
    • Transaction type rules
  • Security Type
    • Security type restricted list
    • Security type approved list
  • Validate Pre-Clearance
    Occurred
    • Check to validate that trade placed by employee received Trade Pre-Clearance approval.
  • Employee Trade Activity
    • Excessive trading of securities
    • Monitor value of securities traded
    • Monitor holding periods
    • Custom rules
  • Firm Trade and
    Holdings
    • Front running
    • Tail gating
    • Monitor holding periods
    • Custom rules comparing employee trades vs firm's tradings and holdings

Benefits of Employee Personal Trading System

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

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