Better Personal Trading Compliance Starts Here

Employee trading can create significant conflicts of interest for your firm. Our Personal Trade Manager automates the personal trading compliance program to uncover violations and mitigate risk.

COMPLIANCE BUILT BETTER.™
Easy for Compliance admins and employees. Intuitive interface, electronic data capture and robust rules engine, make the preclearance and disclosure process easy for all.
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Save time and effort. We have multiple options for trade capture including 100s of direct feeds and Optical Character Recognition (OCR).

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Proactively identify and reduce risks. Employee profile data provides transparency needed to identify patterns in trade activities and reconciliation. 

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Alert

SIMPLIFY PRECLEARANCE PROCESSES

Automatically run employee preclearance requests against your business rules. Configure rules to run against trade requests for the entire firm or customize for designated employee groups or high-risk individuals. 


Based on your policy, trade requests can be automatically approved, denied or escalated.

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CAPTURE ALL EMPLOYEE TRADES

Personal Trade Manager can capture up to 100% of trades and process daily data feeds from thousands of brokerage firms depending on the needs of your compliance program. 


We also provide nontraditional data capture methods for accounts without direct feeds using OCR or manual inputs.

Monitor

VERIFY POST-TRADE TRANSACTIONS

Check all employee trades against firm rules during the post-trade review process.
You’ll receive timely confirmations of employee trade transactions to check for rule breaks and trade violations. Personal Trade Manager automatically generates an alert for you if a rule break occurs.

Capture 100% of employee trading and holding information via multiple capture methods including brokerage feeds. 

 

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Review employee trading activity against restricted lists and insider trading rules and check employee trade activity for front-running and tailgating.

Easily configure, reuse and automate attestations and questionnaires, track completion, and generate reports to streamline compliance processes and provide proof of regulatory compliance.

Automate the capture of trade confirms from brokerages, plus utilize alternative data capture methods when direct feeds are not available.
 

The platform is designed to be easily customizable to fit the unique needs and policies of different organizations. 

Our employee trade compliance software is part of the Know Your Employee (KYE) suite that monitors, identifies and remedies conflicts of interest and code of conduct issues and comprehensively addresses employee compliance.

With Know Your Employee, firms can manage all areas of employee compliance on one platform with shared data, enabling a holistic view of compliance risk. 

Take a holistic view of Personal Trading Risk

Enhance your personal trading program and achieve a comprehensive view of users’ trading and holding data with Personal Trade Manager. With flexible data capture options, configurable workflows, automated preclearances and efficient tracking of employee trades, you can identify potential conflicts of interest and promote thorough oversight and data accuracy throughout your compliance program. 

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Evaluate Compliance with FCA Personal Account Dealing Requirements

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Have Questions about Employee Personal Trading Compliance?

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