Employee personal trades can create potential conflicts of interest. Mitigate the risk of misconduct and increase efficiencies with Foreside’s Personal Trade Monitoring Solution. The manual process of reviewing employee personal trades can be unnecessarily expensive, time-consuming and frustrating for both employees and compliance teams.
Foreside’s Personal Account Monitoring Solution SAVES YOU TIME and EFFORT by enabling electronic capture of electronic trades and holdings and automating the various checks needed to maintain compliance.
- The capability to capture 100% of all employee trading and holding data utilizing multiple data capture methods.
- The flexibility to run a wide selection of pre-clearance and post-trade rules.
- Attestations of user accounts, trades and holdings.
- The ability to monitor trading and holding data for each review period on all accounts.
The goal of our Personal Account Monitoring Solution is to automate your personal trading program and provide you a wholistic view of your users’ trading and holding data.
With Foreside’s Personal Account Monitoring Solution, firms can:
- Simplify the employee trade pre-clearance process
- Automate the capture of trade confirms from brokerages
- Review employee trading activity against restricted lists and insider trading rules
- Check employee trade activity for front-running and tailgating
- Facilitate annual employee attestations and disclosures
- Provide a complete audit history of pre-clearances and order attempt
