Personal Trade Monitoring
The RegEd Personal Trade Monitoring provides broker-dealers and investment advisors with the industry's most comprehensive solution for managing risks associated with personal trading. It automates the time consuming process of capturing, reporting and monitoring employees’ personal trading accounts and ensures compliance with industry regulations and the firm’s policies and procedures. The surveillance module is powered by MyComplianceOffice providing direct feeds from top brokerage firms to verify trading activity and a robust rules-based system which issues alerts to resolve exceptions.
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The RegEd Advantage
Personal Trade Monitoring solution is built on RegEd’s web-based, enterprise platform for compliance management. Single sign-on allows RegEd’s customers to access Personal Trade Monitoring along with their existing Reged solutions. Personal Trade Monitoring is an easy and cost effective solution allowing firms to seamlessly monitor personal trades and quickly manage exceptions.