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Employee Personal 


Monitoring employee personal trading activity is a big job in the management of employee code of conduct for financial services firms and, increasingly for many other organizations. An employee might trade once or one hundred times in their personal account, in a week, a month or a year. If your organization has any more than a handful of employees, the monitoring and management of personal trades quickly becomes an onerous task as the scale of the work exceeds the available resources. Employee personal trading is an area of intense scrutiny for regulatory authorities and therefore a core focus for all compliance programs.

Automation is essential in maintaining compliance around employee personal trading and our solution brings significant advantages including:

  • Eliminate data gaps with 100% electronically capture of employee’s personal trades
  • Provide an automated trade pre-clearance approval process to improve efficiency
  • Run a comprehensive selection of pre-clearance rules on an employee’s personal trades
  • Run a comprehensive selection of post-trade rules on an employee personal trades
  • Automate the gathering of employee attestations regarding personal accounts, trades and holdings to create a more comprehensive and systematic compliance program
  • Easy access to internal compliance monitoring reports for all regulator audit requests
  • All data on the system is easily filtered and can be exported to .csv, excel and PDF formats
  • Integrate personal trade rules with the firms internal trading systems for a more integrated overview of compliance program

These are just some of the many advantages our solution will provide. For a firsthand view of our solutions please click the link below:


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