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

Monitor Consumer Duty

• Assign and monitor pro-active and re-active consumer duty tasks across your business.

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 all modern web browsers.

Security

• Regular penetration testing
• Regular vulnerability checks
• Fully GDPR compliant
• ISO 27001 compliant hosting
• Single sign-on (SSO) capability

Hosting

• Option 1 : Hosted by us
  • Web portal
  • Accessible from anywhere in the world
  • Scalable and secure cloud hosting
• Option 2 : Hosted by you
  • Contact us for more information.

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 14 years, we are well placed to provide bespoke development services to help integrate our product into any operational workflow and trading system.