Employee Trade Tracking

Employee Trade Tracking is a secure web based portal that allows Compliance departments to automate the complete review of their employee personal trading and code of ethics activities.

The system provides an easy to use interface where employees submit requests for pre-trade approval. Highly configurable rules engine where your rules are applied. Automated matching of broker confirms and employee trade requests along with clear and concise exception reporting.

Pre-Trade Approval
 
Automate the complete review of employee personal trading and code of ethics activities. Requests are automatically evaluated and approved, denied, or a case is raised against the request and your Compliance Officers are notified of these trade requests for evaluation.
Compliance Review
 
Build in review triggers and workflow into the rules configured for employee trade requests. Requests that trigger a rule can be sent for single or multi-tier review for supervisor and Compliance approval or denial.
Management Reporting and Document Library
 
Secure customized management reporting delivered via email and archived online. Document library where the firm can archive important guidelines and rules in an easy to access format.
Brokerage Statement Review
 
Automate the complete review of employee personal trading and code of ethics activities. Requests are automatically evaluated and approved, denied, or a case is raised against the request and your Compliance Officers are notified of these trade requests for evaluation.
Feed and List Management
 
Integrated with Broker Feeds, Research distribution, Trading and HR. Offers custom development to include feeds from proprietary systems.

Home Page
Easy to use interface for fast access and minimal training.
 
Notices
Give Compliance control to create their own notices & surveys.
 

Easy to understand pre-trade approval process
Highly configurable rules engine for Compliance to implement their trading policies.