Monitor employee activity, mitigate risk, improve efficiency and create time.
- 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
Monitor Outside Business and Political Activity
- Flexible declaration form
- Custom notification workflow
- Annual attestation/review feature
- Ad-hoc declaration requirement triggers
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
- 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
- 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.
- 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
- 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
- Integration with company trade data.
- On-site support through the entire setup process.
- Simple user registration or AD sync.
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