Automating Employee Personal Trading


One of the main issues impacting compliance officers today is the difficulty of monitoring the personal trading activities of employees in accordance with best practice and industry regulations. Adherence to rules such as SEC Rule 17j-1 and Rule 204A-1, and adoption of the best practices recommended by the SEC can be very time consuming and distracting for any compliance department. Automation of the personal trading compliance process can save firms a lot of time as well as providing them with the ability to more easily analyze the data and check for trends in the data.

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