Employee Personal Trading Application

Our Employee Personal Trading Application can capture, report and monitor all of your employees' personal trading activities in the most efficient and cost effective approach ensuring you are in accordance with industry regulations and your firm's policies and procedures. Automating the personal trading compliance process saves you time and money. Keep track of pre-clearance requests, restricted lists, employee accounts, employee trading activity and employee holdings in a single, integrated system.

Automated Capture of All Trades

Most personal trading systems allow for the capture of electronic feeds from a select number of brokerages. While this is helpful, the compliance office still have to track the statements for employees who hold their accounts at firms which only provide paper confirms and statements.

MyComplianceOffice provide a full end to end confirm and statement tracking system which captures all trades. We capture all the employee trade data both paper and electonic.

Benefits of Employee Personal Trading Application

  • The application provides significant savings on costs of a firm’s compliance program with automation.
  • The application enables easier and more effective oversight and monitoring by compliance personnel.
  • The application reduces risk of compliance issues with automation and easier oversight.
  • The application ensures compliance with the policies and procedures that are appropriate for the firm.
  • The application demonstrates the culture of compliance within the firm to prospective investors.
  • The application adapts to changing SEC, FINRA, FSA and other compliance requirements and to the firm’s changing business model.
  • The application provides peace of mind that firm has long-term, flexible system for compliance program.
  • The "Software as a Service" (SaaS) solution from MyComplianceOffice has:
    • No system costs.
    • Support is included.
    • Upgrades are provided without additional cost.
  • The application ensures all personal trade monitoring data is readily available online for review and SEC audit purposes.
  • The application integrates with MyComplianceOffice COMS system. Learn more about COMS > >

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