Employee Trade Monitoring

A compliance solution aiding the monitoring of employees personal securities transactions and holdings

Most companies that operating in the financial market; either directly or indirectly, are required by law to report on employees self-trading, to ensure general confidence in the financial market/securities market. Companies that have any violations in this matter are responsible to notify the FSA (Finanstilsynet). The companies are required to satisfy internal guidelines, routines and control methods for monitoring personal transactions of employees in financial instruments.

Employee Trade Monitoring is a web-based compliance solution aiding monitoring of employees personal securities transactions and holdings in financial instruments, with pre-clearance, screening list capabilities, and automated rule checking.  

The application provided has a split compliance and employee portal access, providing some of the high-level functionalities. The product is to be released early 2021, but please get in touch with us now and we will help with training and setup enabling you to be ready once we launch.