Employee Personal Trades
Manually monitoring employee personal trades can be inefficient and time-consuming, with our PTM software, firms can automate preclearance requests and approvals, employee trade monitoring and post-trade review. These increased efficiencies offer better oversight of employee personal trades.
Features of PTM with MyComplianceOffice:
- 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
Click the links below to learn about personal trade management in MCO.
