PERSONAL ACCOUNT DEALING MONITORING SOFTWARE

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TradeLog

Prevent market abuse with proactive employee personal trade monitoring

Saving time by streamlining personal trade compliance and eliminating manual compliance tasks.
Improved control of employee personal account dealings thanks to a comprehensive overview of trade requests, holdings, and violations.
Enhanced transparency by tracking all employee personal trades, approved and declined, and creating standard and custom reports.

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Increased regulatory scrutiny puts Financial Service Firms under pressure to ensure compliance with MiFID II, MAR and local legislation. To prevent market abuse and conflicts of interest, these firms must put adequate internal trading policies and controls into place. Personal account dealing software streamlines compliance workflows while ensuring all employees operate under full compliance.

User-friendly, digital Personal Account Dealing solution built to simplify your compliance workflow

Online application

With TradeLog, employees can easily apply for pre-clearance and track the progress of their cases through a digital portal. As well as making the application process quicker, this also enables them to find information about prohibited trades, access the company trading policy and manage details of their close connections, relieving the compliance department of these tasks.

Automated pre-clearance

By setting custom rules, you can enforce restrictions on specific groups of people, such as PDMRs, pre-define holding periods, block applications based on ISIN and more. Our personal account dealing software runs an automated check against your rules to identify requests that are in breach of your rules. This reduces the risk of human error.

Record keeping and reporting

Employee personal trade compliance software simplifies record keeping by providing a comprehensive list of all employee trades and their pertinent details to help you identify patterns in personal account dealing. You can easily generate reports from this data to facilitate compliance audits, decision-making and policy reviews.

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“All our employees are required to register their securities holdings when they start working for us. Our previous solution required a great deal of manual work. Tradelog makes it easier for our Compliance team to get an overview of the holdings of a single employee or group of employees. The system was well-received amongst employees, primarily because employees feel the new system is simpler and more user-friendly than our previous one.” DNB Markets

Free up your compliance team

Automatic personal trade monitoring where CSD connection is available
Audit records and reports to authorities
Built and hosted in the EU with complete GDPR compliance
Log and overview of all employee personal trades and holdings
Real-time violation alerts

Ease the work of your compliance team

Added value
- Onboarding
- Set unlimited number of restrictions
- Extensive reporting features
- Support during office hours
- Set unlimited number of bindings
- Set project- or group-based restrictions