Restricted Access List Management

Compare Trade Requests Against a Restricted List

A restricted access list of securities is commonly established by firms to prevent internal conflicts of interest. One of the key benefits of the Compliance11 Supervisory Suite is its ability to automatically compare employee trade requests against a restricted list before it can be approved. By comparing trades to a restricted access list, managers can be assured that rules and restrictions regarding trading are being observed and the specific restricted access list is being followed. The Compliance11 Supervisory Suite reduces the amount of staff effort to review trades and helps manage restricted access list compliance. It also helps ensure that a systematic process is followed for all employee trading requests, automatically comparing all trades to the firm's restricted access list. In addition to restricted access list management, Compliance11's software also allows firms to pre-establish how long a stock remains on the restricted list. With this feature, managers can spend less time updating restricted access list information and more time focusing on other compliance maintenance issues.