Insider Trading Policy Management System (ITPMS) is an Enterprise-Class Insider Trading prevention solution which can automate and address the challenge of complying with regulatory requirements specific to insider trading. It serves as a central repository of insider related information for reporting and analytics.
ITPMS easily captures details about “Insiders” and their immediate family-members as per policy definition. A workflow enabled pre-dealing (trading) approval process and post trade update mechanism brings efficiency to the system making request handling very easy.
Features such as a configurable Trading Window and automated Alerts and Notifications add flexibility to the system. Further, Insider Trading analytical utility helps compliance officers to identify deviations/ violations from actual trading logs with a click of a button.
ITPMS includes configurable multi-level approvals for requests, exception handling and bulk uploads. A Declarations and Disclosure module helps in periodic policy sign-off and form generation.
ITPMS offers an integrated view of the insider trading status of an organization. It has an option to integrate CRM/ HRMS/ internal systems (AD) easily for seamless work-flow.
The Dashboard also provides an option to download various reports with date/time stamps which can be used for internal and board circulation.