Prevent market abuse with proactive employee trade surveillance
All our employees are required to register their securities holdings when they start working for us. Our previous solution required a great deal of manual work. Tradelog makes it easier for our Compliance team to get an overview of the holdings of a single employee or group of employees. The system was well-received amongst employees, primarily because employees feel the new system is simpler and more user-friendly than our previous one.DNB Markets
Free up your compliance team
- Automatic trade monitoring where CSD connection is available
- Audit records and reports to authorities
- Built and hosted in the EU with complete GDPR compliance
- Log and overview of all employee trades and holdings
- Real-time violation alerts
7 Compliance Risks of Employee Personal Trading
In this guide, you’ll learn what the Market Abuse Regulation (MAR) and MiFID II say about employee trading and why trade pre-clearance is an essential part of your compliance strategy. We provide clear, actionable steps to mitigate the risks associated with it.
Discuss your requirements for trade surveillance software and find out how TradeLog can help.