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.
Pre-Approvals & Updates
– Workflow based pre-dealing clearance and post- deal confirmation
– Exception handling
Alerts & Notifications
– E-mail alerts with appropriate escalations
– Configurable schedules
Trading window Management
– Configuration of blackout period
– Auto / manual alerts & notifications
Insider Information Collection
– User and relatives information
– Self-update utility
Declaration & Disclosures
– Periodic policy Sign-off
– Periodic disclosure of holdings
Analytics & Reports
– Deviations / violation analysis
– Detailed reports