Personal Securities Trading

The Personal Securities Trading module provides the ability to automate the administration, oversight and annual reviews required by your Ethics Code and Insider Trading Policy including:

• Prescreening the personal trading of each employee against your watch list and restricted list as well as a portfolio manager’s recommended list
• Capturing, indexing, sorting and filing trade confirmations and brokerage statements
• Documenting and retaining Quarterly Transaction and Annual Holdings reports

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In this section we provide a compliance practice guide which addresses:

• Prohibited Transactions
• Pre-Approval
• Pre-Approval Factors
• De Minimus Transaction Exemption
• Prohibitions against Manipulation
• Client Priority
• Front Running
• Recommended Lists
• Watch Lists
• Restricted List
• IPOs
• Limited Offerings
• Initial and Annual Holdings Reports
• Quarterly Securities Transaction Reports
• Trade Confirmations and Brokerage Statements
• Violations of Personal Trading Rules
• Sanctions
• Annual Report to Senior Management
• Recordkeeping Requirements