Features

Monitor employee activity, mitigate risk, improve efficiency and create time.

Benefits

  • Protect against legislation breaches such as front running and insider trading.
  • Increase user engagement with a simple easy-to-use interface
  • Improve efficiency with tailored workflows
  • Improve overall productivity with reduced manual labour
  • Full audit history
  • No more paperwork

Monitor Personal Account Dealing

  • Custom approval workflows / scenarios
    • E.g. Share incentive plan trade, if held in a company fund, if on custom security list.
    • Set approval scenario priority
  • Flexible rules for auto-approving and auto-denying trades
  • Pre-trade checks
  • Post-trade checks
  • Comprehensive security/instrument search (source: Bloomberg)
    • Covers all market sectors
    • Ability to submit a custom security.
  • Automated or manual restrictions on securities
  • PA dealing archive
  • Custom reporting
  • Annual attestation/review feature
  • Full system auditing
  • Management Information (MI) reporting
    • Contract note upload
    • Record execution details
    • Breach checks:
      • Executed amount vs Approved amount
      • Timestamp of contract note upload vs Execution timestamp
      • Amount approved vs amount executed
      • Check if user will hold >n% of security after execution
  • Custom email notifications
  • Custom ‘Share incentive plan’ workflow
  • Integrate with trading systems
    • For checking fund positions, open orders, stop list, watched stocks and any other relevant trade data.
  • User roles

Monitor Gifts and Hospitality

  • Approval and Attestation
  • Flexible form
  • Custom approval workflow
  • Custom email notification triggers
  • Reporting

Monitor Outside Business and Political Activity

  • Flexible declaration form
  • Custom notification workflow
  • Annual attestation/review feature
  • Ad-hoc declaration requirement triggers
  • Reporting

Incident Case Management

  • Create and manage incident cases, linking portal data into the case.
  • Includes breaches, errors, near misses
  • Flexible review workflows
  • Ability to send back for review and re-submit
  • Reporting

Action Tracker

  • Create and manage Actions
  • Assign to multiple users

Monitor, Score and Mitigate Corporate Risk

  • Monitor risks in and around your company using a regular scoring mechanism ("Risk Scorecard")
  • Each risk can have it's own bespoke multiple choice scoring option
  • Assign risks to employees
  • Line manager access to employee-assigned risks
  • Multi-level risk categories
  • Regular/periodic risk scoring requirement
  • Incomplete risk escalation procedure with regular notifications
  • Reports on risk scoring
  • Archive reports

Monitor Operational Risk

  • Keep track of risk of loss resulting from inadequate or failed internal processes, people and systems, or from external events, including legal risk.
  • Check on the current status of Operational Risk at any time.
  • Report on those Operational Risks with an adjustable value-based scoring system, rating risks from very low to very high.

Monitor Conflicts of Interest

  • Record, rate and comment on conflicts that fall outside of the other modules.
  • Conflicts archive

High accessibility

  • Access from anywhere in the world via our web portal.
  • A responsive mobile-first design means the system is well suited for any device and screen size.
  • Compatible with modern web browsers.

Security

  • Regular penetration testing by a Fortinet UK partner of excellence
  • Regular vulnerability checks
  • Fully GDPR compliant
  • ISO 27001 compliant hosting
  • Protected by a Web Application Firewall
  • Single sign-on capability (SSO)
  • Password complexity checks
  • Captcha protection
  • Encrypted HTTPS connection
  • DDOS protection
  • Secure API authentication
  • Secure data storage at rest
  • Intrusion Protection System
  • Endpoint security

Hosting

  • Option 1 : Hosted by us
    • Web portal
    • Accessible from anywhere in the world
    • Scale-able and secure cloud hosting
  • Option 2 : Hosted by you
    • Contact us for more info

Implementation

  • Integration with company trade data.
  • On-site support through the entire setup process.
  • Simple user registration or AD sync.

Support

Full support with implementation and post-live questions and assistance.

Bespoke development services available

Having developed software in the investment management industry, on the client-side, for over 10 years, we are well placed to provide bespoke development services to help integrate our product into any operational workflow and trading system.

Great new efficient system. A vast improvement and a stride towards a paperless business!
FE Alpha Fund Manager