Code of Ethics and Personal Trading Compliance
Automate your firm's Code of Ethics program. From brokerage account disclosure to pre-clearance and holdings reporting, ensure every access person meets their obligations without manual spreadsheet tracking.
Built-in
Pre-clearance
Integrated
Restricted List
On-demand
Reporting
Spreadsheets Cannot Keep Up with Personal Trading Obligations
Access persons trade across multiple accounts. Manual tracking invites errors and missed deadlines.
The SEC requires investment advisers to adopt a Code of Ethics with procedures for personal securities transactions. Most firms still use email and spreadsheets, making it nearly impossible to enforce pre-clearance, check against restricted lists, or produce complete records during an examination.
How It Works
End-to-end personal trading compliance
Disclose Brokerage Accounts
Employees register all brokerage accounts through a simple disclosure form. Account details are stored securely for compliance oversight.
Pre-Clearance Requests
Access persons submit trade requests before executing. The system checks against restricted lists and holding periods.
Holdings & Transaction Reporting
Employees report holdings and transactions for review against restricted securities, blackout periods, and firm policies.
Quarterly & Annual Reporting
Generate holdings and transaction reports on schedule. Employees certify accuracy with electronic signatures.
Key Capabilities
Comprehensive personal trading oversight
Holdings reporting and disclosure tracking
Pre-clearance with restricted list checks
Restricted and watch list management
Brokerage account disclosure tracking
Quarterly transaction report generation
Annual holdings certification workflows
Blackout period enforcement
Insider trading alert surveillance
Regulations Covered
Stay ahead of personal trading requirements
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