Insider Trading Management System (ITMS) helps organizations easily capture details about “Insiders” and their immediate family-members as per their policy definition. A workflow enabled pre-dealing approval as well as post trade update mechanism brings efficiency to request handling.

A configurable “Trading Window” and automated alerts and notifications add flexibility to the system. Further, Insider Trading analytical utility helps compliance officers quickly identify deviations/ violations from actual trading logs with a click of a button.

ITMS include configurable multi-level approval for requests, exception handling and bulk uploads. A Declarations and Disclosure module helps in periodic policy sign-off and form generation.

ricago-Insider Trading Management System

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Pre-Approvals & Updates

– Workflow based pre-dealing clearance    and post- deal confirmation
– Exception handling


Alerts & Notifications

– E-mail alerts with appropriate    escalations
– Configurable schedules

Compliance Management System

Trading window Management

– Configuration of blackout period
– Auto / manual alerts & notifications

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Insider Information Collection

– User and relatives information
– Self-update utility

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Declaration & Disclosures

– Periodic policy Sign-off
– Periodic disclosure of holdings

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Analytics & Reports

– Deviations / violation analysis
– Detailed reports

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