Personal Trading Software
Employee Trading - Compliance Made Simple
Compliance11's Supervisory Suite provides automated personal trading software to help firms better manage and track employee trading activity. Compliance11's personal trading software saves companies valuable time and money, while providing important safeguards against compliance errors.
Personal Trading Software - Solutions for Compliance Tracking
One of the key benefits of Compliance11's personal trading software is its ability to automate employee trading requests and approvals easily and accurately. An employee simply enters a request to trade through a personal account. The personal trading software within Compliance11's Supervisory Suite automatically routes the request and compares it to a list of rules, restricted lists and watch lists established by the firm. Personal trading software instantly determines if the employee trading fits the firm's compliance regulations and then automatically approves, denies, or routes the trade to the compliance department for review. It's that easy. Thanks to Compliance11's personal trading software, employee trading compliance becomes easier than you ever imagined possible.
Benefits of Compliance11's Personal Trading Software
- Pre-clear and reconcile personal trading with electronic brokerage firm confirmations
- Supports auto-approval of trading activity as well as pre-set holding periods
- Maintain public "restricted lists" and private "watch lists"
- Report on key activities including "front running", "unapproved trades", "trade activity by symbol, account & employee"
- Document personal trading activities and timing with a comprehensive audit trail
Compliance11's personal trading software turns the request and approval of employee trading into an automated system that ensures faster approvals, improved visibility and documentation of all personal trades as well as a superior level of internal controls on all trades. It's the software that makes compliance easier every step of the way.