Expertly automate your insider list management
Offer secure, anonymous online whistleblowing
Monitor employee trading, effortlessly
Streamline your liability registration
Ensure employees operate in full compliance. Our digital application process for pre-clearance of trades and seamless online administration of the trade process is user-friendly and automated.
Set custom parameters to ensure employee trades are compliant with legislation and adhere to internal policies. Save time checking each individual prospective trade with our automated system.
Our fully digitised case management system features automated surveillance and violation notifications, as well as standard and customised reports (e.g. violation log, authorities).
Compliance officers have complete control over setting the rules relating to employee trades. You will receive instant notifications about any violations related to trade pre-clearance and surveillance.
Employees can easily apply for pre-clearance, find out information on prohibited trades and administer their profile, including updating holdings and details of close connections.
Process applications in no time via the “Applications Pending” tab. Follow up on missing consents or request additional input from the employee and other parties in the company, if required, before clearing the trade.
Notifications are sent to the compliance officer and the employee, allowing swift action to be taken. TradeLog manages all necessary documentation related to the case within the secure online platform.
Investment firm employees must declare their personal trades to their employer, which can be done using an automated system like TradeLog. The system checks trades against preset parameters and monitors for violations, reducing manual work.
There is the potential for the company to become subject to substantial financial penalties for failing to prevent employee personal trades that benefit from insider knowledge or comprise a conflict of interest. This can, in turn, lead to reputational damage for the company and a loss of trust with clients.
By running employee personal trades through a pre-clearance system you can minimise compliance risks. Enter into TradeLog parameters that relate to the regulatory requirements and your own company policies so that it will flag potential problems before a purchase or sale is made. TradeLog helps you optimise your process to allow trades to take place in good time and without tying your compliance function up with manual investigation work. This automated pre-trade clearance system helps you reduce the administrative burden while securing your compliance with all relevant legislation.
Managers, employees and tied agents of investment firms, as well as their family members, close friends and anyone else connected to them (if there is a chance that the trade would benefit the employee), should also use the system.