ComplyLog

Take Control of Employee Trading

Automate personal trade monitoring and stay compliant with MAR and MiFID II

Compliance Manager Monitoring Employee Trading

TradeLog is a complete online solution that removes the burden of clearing and monitoring employees’ personal securities, transactions and holdings.

Easy dashboard reporting

Reduce administrative work

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.

Easy For All Users and Secure Authentification

Speed up pre-clearance

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.

Reduce risks and Comply

Ensure compliance

Our fully digitised case management system features automated surveillance and violation notifications, as well as standard and customised reports (e.g. violation log, authorities).

See how TradeLog saves your time

Make pre-clearance and monitoring intuitive

Stay on top of employee trades

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.

TradeLog Software Compliance Applications

Improve the employee experience

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.

TradeLog Software Compliance Applications Dashboard

Easily process pending applications

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.

Compliance TradeLog Multi Device Software

Quickly resolve violations

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.

TradeLog Control Room
Get started with TradeLog

Monitor and clear employee trades in minutes.

Interested? Request a demo or contact our team to find out more.
Interested? Request a demo or contact our team to find out more.

FAQ

Are employee trade monitoring systems mandatory?

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.

What are the compliance risks of employee personal trading?

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.

Why do we need a pre-clearance process?

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.

Who should submit pre-clearance requests?

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.