Insider Trading Management System (ITMS) helps organizations easily capture details about “Insiders” and their relatives 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.

Other features of 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.

insider trading management system

KEY FEATURES

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

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