TradeLog

Euronext is introducing a new service that helps customers to comply with internal and external regulations regarding employee trading

When companies operate in the financial market they are required by law to report on employee trading to ensure public confidence in the financial markets. TradeLog is a web-based compliance tool and a fully functional case management system to handle employees’ applications, approvals and enquiries relating to their personal trading activity. It can be tailored to the company’s specific environment and incorporates all of the regulations, internal policies and procedures which govern employee trading activity.

The online solution includes a fully digital registration process for pre-approval of trades, and automated monitoring and notification of trade violations. The solution is linked to the employee’s account in Euronext Securities Oslo, and has access to all ISINs from the ANNA (Association of National Numbering Agencies) database.

Track your employees’ trading activity

Key features

TradeLog can be accessed via the compliance portal or the employee portal, depending on the user’s role

For compliance officers

  • Digitized application process for pre-clearance of trades
  • Rule based configuration to automate trade reviews based on firm’s policies
  • Electronic case management system for compliance
  • Approval or denial of applications based on pre-set parameters
  • Automated surveillance and notifications of violations
  • Standard and customized reports (e.g. violation log, authorizations, etc.

For employees

  • Digitized application process for pre-clearance of trades
  • Administration (add / apply, modify, remove) of consent, holdings, and related parties
  • Integration and feedback communication from compliance screens / actions
  • Information on prohibited trades, etc.
  • Automated surveillance and notifications of violations to employees and compliance
Download product sheet

Read about the TradeLog case study in collaboration with DNB Markets

Case study

Dashboard features

User-friendly dashboard provides total oversight of employees’ trading and holdings, reducing risk of fines and time spent investigating violations.

  • APPLICATIONS PENDING
    Process applications easily via the “Applications Pendig” tab and request additional input from the employee and/or other parties in the company
  • UNRESOLVED VIOLATIONS
    Receive notification of violations are sent to the compliance officer and to the employee. Tradelog can manage all necessary documentation related the case
  • MISSING CONSENTS
    Keep track of missing consents from employees and/or their related parties via the ‘Missing consents’ tab
  • PENDING MESSAGES
    Communicate easily with employees ensuring transparency and acting as an information channel from the firm’s compliance department