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.

Key Features

For Employees:For Administrators:
  • Integrates with RegEd’s Enterprise Platform (Trax)
  • Customized Submission Forms and Approval Routing
  • Periodic Account, Trade and Holding Attestation
  • Configurable 407 Letters
  • Outsourced Trade Entry from Confirms and Statements
  • Electronic Feeds from Brokerage Firms
  • Configure Trade Rules
  • Trade Review
  • Trade Alert Resolution
  • Trade Search with Export

Benefits

  • User-friendly interface for disclosing trading accounts and completing mandated attestations
  • Direct feeds that automatically capture employee holdings and trades
  • Robust surveillance tools that monitor for activities such as front-running and restricted stock trading

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.

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