Variants and Features of the Complete Affinisio(PIT) Suite
Choose from the options below to explore product variants and features that make Affinisio(PIT) the Premier Choice
Intermediaries
Core
FOR SEBI Intermediaries and Fiduciary entities dealing with multiple client engagements and teams.
- Lifetime automated tracking and monitoring of holdings of all employees and relatives account by date.
- Seamless disclosures once per employee lifetime.
- Comprehensive security database of ISINs and entities with option for ongoing auto-data feed.
- Pre-filled annual affirmations.
- Self-guided employee compliance for all employees.
- Automated new joiner & annual affirmation management.
- Granular gray-list management across securities and teams.
- Configurable auto review logic with approvals/rejections based on custom preferences and scenarios.
- All requests pre-verified for existing holdings, balances, contra-period and declarative compliances.
- Anti-tip-off procedures to prevent systemic gaming for sensitive information.
- Seamless IDD integration for direct, automated synchronization with Affinisio (IDD).
- Trade execution monitoring against all approval conditions.
- Policy customization engine with in-house management for default approval validity, contra- periods etc by the Compliance teams.
- Flexible validity management for case-by-case control and adjustment of trading approval durations.
- Built-in and integrated exception management for missed or incomplete initial disclosures.
- Built-in and integrated exception management for missed or incomplete trade executions.
- Policy exception reports.
- Automated employee email intimations, notifications and compliance reminders.
- In-mail action for authenticated approvals/rejections without login.
- Automated and controlled tracking of segmented utilization of approvals by employees against each trade request.
- Employee compliance action tracking for initial and interim employee declarations.
- Smart Compliance Control Panel.
- Enterprise-grade integration across SSO, LDAP, Bloomberg, Time-booking, billing and client- management systems for end to end automation.
- Fully automated ‘trigger-and-forget’ system that emails, reminds, and guides Designated Persons through every compliance step.
- Pre-filled details for all Designated Persons following the initial system update.
- Centralized tracking of immediate relatives, material financial relationships (MFR) Centralized tracking of education, work history, account details.
- New joiner & annual cycle management.
- Automated action tracker report.
- Constantly updated and centralized Insider repository of Designated Persons.
- Smart Compliance Control Panel Robust system integrations for HRMS, SSO, and LDAP, Enterprise-grade security.
- Advanced access controls with full-featured user management system and granular access controls and permissions.
- Proactive engagement alerts for email intimations, notifications, and proactive compliance reminders.
- Advanced Access Controls.
- Project-Specific Deal Teams.
- Extensive Database of Listed Entities.
- Self-Create ‘To-Be-Listed’ Entities.
- Deal Team and Project-Wise Information Barriers.
- Flexible Entry Logging.
- Intuitive UPSI Workflows.
- Group UPSI Capture.
- Auto-file UPSI Entries to Individuals Accounts.
- Pre-created UPSI Descriptions controlled by Compliance Officer.
- Custom UPSI Descriptions.
- Unlimited External Contacts.
- HRMS and SSO Integration.
- Intermediary Pre-Registration.
- On-Premise deployment for full data ownership.
- Multi-platform accessibility Web, Desktop, and Mobile platforms.
- Flexible deployments optimized for your organization’s owned cloud infrastructure.
- Seamless integration of people details with HRMS integration or one-click bulk upload for user data.
Prime
FOR SEBI Intermediaries and Fiduciary entities dealing with multiple client engagements and teams. FOR SEBI Intermediaries and Fiduciaries with multiple client engagements and teams requiring advanced employee trading obligation tracking and independent balance monitoring with NSDL/CDSL.
…all the features of Affinisio PIT Suite, Core Variant PLUS
- Fully automated ‘trigger-and-forget’ employee onboarding that intimates, guides and reminds, employees through to completing of all onboarding compliances.
- On-premises depository integration with NSDL/CDSL for employee balances via RBI-Account Aggregator partners including automated OTP-based consent management and tracking (optional).
- Automated update of initial holdings for all employees via direct depository integrations (optional).
- Fully automated consent lifecycle management for all employee-to-depository consent requirements (optional).
- Balance reconciliation with Depository Balances to ensure the ultimate level of monitoring control (optional)
- Formal contra period waiver requests for exception circumstances.
- Trade execution reminders to log executed transactions.
- Custom employee reporting timelines and grace periods. Anti-tip-off procedures to prevent systemic gaming for sensitive information.
- Automated request exemption management for instances where pre-approval requirements are waived.
- Enforce Proofs for when submissions are to be supported by proofs of holdings and/or transactions.
- Unutilized approval tracking, management and reporting.
- Unutilized trade declarations.
- Trade action reporting for partially, fully, or entirely unactioned trading mandates.
- Report of transactions exempted from prior approvals.
- Granular account tracking across Demat and Trading accounts for all employees.
- Complete support for Approved Broker Programs and similar, with direct integration of broker statements and live non-compliance intimations (optional).
- Full support for integration of prohibition on trading by Research Analysts (optional).
- Fully integrated with SDD application to ‘push-enable’ prohibitions for persons holding UPSI.
- Deep integration of Prevention of Market Abuse regulations such as front-running and including direct integration with Bloomberg or other Electronic Order Matching Systems (optional).
- Mass designation to efficiently manage and assign large numbers of Designated Persons through a centralized bulk-action interface.
- DP timeline reporting with detailed chronological reports tracking the tenure and status changes of all Designated Persons.
- Material entity reporting to identify and track all material subsidiaries and associated entities.
- Compliance intimation trail to intimate compliance obligations and retain a centralized, evidentiary trail of all exceptions and responses.
- Zero-Touch Email Integration for SDD.
- Unrecognized Sender / Receiver Alerts from Email Auto-Population in SDD.
- UPSI Super-Grouping.
- Bulk Migration Utility.
- Post-Facto PAN Updates.
- Intermediary Cross-Integration.
- Smart Approval Workflow within SDD
Listed Entities
Core
FOR Listed Entities
- Lifetime automated tracking and monitoring of holdings of all employees and relatives account by date.
- Seamless disclosures once per employee lifetime.
- RTA Beneficiary Position (BENPOS) Integration to extract holdings of all Designated Persons and to track changes in holdings positions (optional).
- Manage all security classes across multiple ISINs for your entity, whether equity shares, preference shares or debt-listed.
- Pre-filled annual affirmations.
- Self-guided and fully automated employee compliance.
- New joiner & annual affirmation management.
- Trading window closure – Manage, intimate and track Trading Window closures for all DPs.
- Automated requests verification for all employees and relatives (pre-verified for holdings, balances and contra-period compliances).
- Auto-tracking trade requests against trading window closures.
- Seamless integration of demat and relative details from Affinisio(IDD).
- Fully automated tracking of executed trades against all approval conditions.
- Self-maintain policies, from default trading approval validity to default contra period.
- Manage trading approval validity on a case-by-case basis as required.
- Full feature exception management center for missed declarations of securities or demat accounts.
- Full featured exception management center for missed trade requests of employees and all connected persons.
- Automated or manual approval or rejection based on your preferred scenarios.
- Automated employee Email intimations, notifications and compliance reminders.
- Direct in-mail action for approvers to provide authenticated approvals/ rejections without logging in to application.
- Full report of all employee trading requests approved or rejected.
- Fully automated report of all employee policy exceptions.
- Fully automated report of compliances for initial and interim employee declarations.
- Smart Compliance Control Panel
- Robust security and integration with HRMS, SSO, and LDAP systems.
- Secure access across Web, Desktop, and Mobile platforms.
- Flexible deployments optimized for deployment on your organization’s owned cloud or managed cloud infrastructure.
- Seamless integration of People Details vide HRMS integration or one-click bulk upload for user data.
- Fully automated ‘trigger-and-forget’ system that emails, reminds, and guides Designated Persons through every compliance step.
- Pre-filled details for all Designated Persons following the initial system update.
- Centralized tracking of immediate relatives, material financial relationships (MFR) Centralized tracking of education, work history, account details.
- New joiner & annual cycle management.
- Automated action tracker report.
- Constantly updated and centralized Insider repository of Designated Persons.
- Smart Compliance Control Panel Robust system integrations for HRMS, SSO, and LDAP, Enterprise-grade security.
- Multi-platform accessibility across Web, Desktop, and Mobile platforms.
- Advanced access controls with full-featured user management system and granular access controls and permissions.
- Proactive engagement alerts for email intimations, notifications, and proactive compliance reminders.
- Advanced Access Controls.
- Flexible Entry Logging.
- Intuitive UPSI Workflows.
- Group UPSI Capture.
- Real-Time Login Sync.
- Pre-set and Custom UPSI Descriptions.
- Automated Email Intimation.
- Project-Based Management.
- Functional Group Creation.
- Restricted Project Access.
- Unlimited Contact Inclusion.
- Smart Identification.
- Automated Audit Logging.
- Custom Regulatory Reporting.
- Certified for Regulatory Compliance.
- Smart Compliance Control Panel
- Deployable fully on-premises for complete data privacy and ownership.
- Multi-Platform Accessibility.
- Flexible Deployments.
- On-Demand Training.
- Seamless Integration of People Details
- Advanced Access Controls.
Prime
FOR Listed Entities FOR Listed Entities seeking complete SEBI PIT Compliances as well as advanced or additional system and BENPOS integrations/ customizations.
…all the features of PIT Suite, Core Variant PLUS
- Fully automated ‘trigger-and-forget’ employee onboarding that intimates, guides and reminds, employees through to completion of all onboarding compliances.
- Auto-update initial holdings for all employees directly from BENPOS data (optional).
- Auto-reconciliation of BENPOS balances and compliant balances on Affinisio (optional).
- Enable submission of formal requests for waivers from contra-period requirements.
- Automated notifications prompting employees to log executed transactions for full compliance.
- Configure custom grace periods for employee trade reporting obligations.
- Self-manage instances where pre-approval is not required, such as trades below thresholds or bonus issuances.
- Monitor and track all trading approvals that remain unutilized.
- Allow employees to provide formal declarations against unutilized trading approvals.
- Generate automated reports on trade requests categorized as partially, fully, or unactioned.
- Enable reporting of transactions exempted from standard pre-approval requirements.
- Track transactions by trading account in addition to Demat accounts for all DPs.
- Fully integrated with SDD application to ‘push-enable’ prohibitions for persons holding UPSI.
- Mass designation to efficiently manage and assign large numbers of Designated Persons through a centralized bulk-action interface.
- DP timeline reporting with detailed chronological reports tracking the tenure and status changes of all Designated Persons.
- Material entity reporting to identify and track all material subsidiaries and associated entities.
- Compliance intimation trail to intimate compliance obligations and retain a centralized, evidentiary trail of all exceptions and responses.
- Granular Information Barriers within SDD.
- UPSI Super-Grouping.
- Bulk Data Migration.
- Zero-Touch Email Integration for SDD.
- Automated Identity Alerts in SDD.
- Post-Facto PAN Updates.
- Entry Approval Workflow for SDD.
Mutual Funds, Listed Intermediaries
Pro
FOR SEBI Regulated Mutual Funds or for Intermediaries that are Listed.
- Fully automated ‘trigger-and-forget’ employee onboarding that intimates, guides and reminds, employees through to completing of all onboarding compliances.
- Pre-filled annual affirmations.
- Seamless IDD integration for direct, automated synchronization with Affinisio (IDD).
- New joiner & annual affirmation management.
- Trading window closure – Manage, intimate and track Trading Window closures for all DPs.
- Fully automated report of compliances for initial and interim employee declarations.
- Seamless disclosures once per employee lifetime.
- Lifetime automated tracking and monitoring of holdings of all employees and relatives account by date.
- Granular gray-list management across securities and teams.
- Configurable auto review logic with approvals/rejections based on custom preferences and scenarios.
- All requests pre-verified for existing holdings, balances, contra-period and declarative compliances.
- Anti-tip-off procedures to prevent systemic gaming for sensitive information.
- Policy customization engine with in-house management for default approval validity, contra-periods etc by the Compliance teams.
- Flexible validity management for case-by-case control and adjustment of trading approval durations.
- Policy exception reports.
- Automated employee email intimations, notifications and compliance reminders.
- In-mail action for authenticated approvals/rejections without login.
- Automated requests verification for all employees and relatives (pre-verified for holdings, balances and contra-period compliances).
- Auto-tracking trade requests against trading window closures.
- Self-maintain policies, from default trading approval validity to default contra period.
- Manage trading approval validity on a case-to-case basis as required.
- Full feature exception management center for missed declarations of securities or demat accounts.
- Full featured exception management center for missed trade requests of employees and all connected persons.
- Full report of all employee trading requests approved or rejected.
- Fully automated report of all employee policy exceptions.
- Formal contra period waiver requests for exception circumstances.
- Automated request exemption management for instances where pre-approval requirements are waived.
- Unutilized approval tracking, management and reporting.
- Self-manage instances where pre-approval is not required, such as trades below thresholds or bonus issuances.
- Enable self-reporting of transactions exempted from standard pre-approval requirements.
- Automated and controlled tracking of segmented utilization of approvals by employees against each trade request.
- Fully automated tracking of executed trades against all approval conditions.
- Enforce Proofs for when submissions are to be supported by proofs of holdings and/or transactions.
- Granular account tracking across Demat and Trading accounts for all employees.
- Automated notifications prompting employees to log executed transactions for full compliance.
- Configure custom grace periods for employee trade reporting obligations.
- Monitor and track all trading approvals that remain unutilized.
- Allow employees to provide formal declarations against unutilized trading approvals.
- Generate automated reports on trade requests categorized as partially, fully, or unactioned.
- Track transactions by trading account in addition to Demat accounts for all DPs.
- Comprehensive security database of ISINs and entities with option for ongoing auto-data feed.
- Manage all security classes across multiple ISINs for your entity, whether equity shares, preference shares or debt-listed.
- Integration of Beneficiary Position (BENPOS) from RTA or Register of Unitholders to extract holdings of all Designated Persons and to track changes in holdings positions (optional).
- On-premises depository integration with NSDL/CDSL for employee balances via RBI-Account Aggregator partners including automated OTP-based consent management and tracking (optional).
- Automated update of initial holdings for all employees via direct depository integrations (optional).
- Fully automated consent lifecycle management for all employee-to-depository consent requirements (optional).
- Balance reconciliation with Depository Balances to ensure the ultimate level of monitoring control (optional).
- Complete support for Approved Broker Programs and similar, with direct integration of broker statements and live non-compliance intimations (optional).
- Full support for integration of prohibition on trading by Research Analysts (optional).
- Deep integration of Prevention of Market Abuse regulations such as front-running and including direct integration with Bloomberg or other Electronic Order Matching Systems (optional).
- Auto-update initial holdings for all employees directly from BENPOS or Unitholder data (optional).
- Auto-reconciliation of BENPOS/ Unitholder data balances and compliant balances on Affinisio (optional).
- Smart Compliance Control Panel Enterprise-grade integration across SSO, LDAP, Bloomberg, EOMS for end to end automation.
- Multi-platform accessibility Web, Desktop, and Mobile platforms.
- Advanced access controls and full-featured user management.
- Deployable fully on-premises for complete data privacy and ownership.
- Flexible deployments optimized for deployment on your organization’s owned cloud or managed cloud infrastructure.
- Seamless integration of People Details vide HRMS integration or one-click bulk upload for user data.
- Fully integrated with SDD application to ‘push-enable’ prohibitions for persons holding UPSI (optional)
- Fully automated ‘trigger-and-forget’ system that emails, reminds, and guides Designated Persons through every compliance step.
- Pre-filled details for all Designated Persons following the initial system update.
- Centralized tracking of immediate relatives, material financial relationships (MFR) Centralized tracking of education, work history, account details.
- New joiner & annual cycle management. Automated action tracker report.
- Constantly updated and centralized Insider repository of Designated Persons.
- Smart Compliance Control Panel Robust system integrations for HRMS, SSO, and LDAP, Enterprise-grade security.
- Complete data ownership with fully on-premises deployment.
- Advanced access controls with full-featured user management system and granular access controls and permissions.
- Proactive engagement alerts for email intimations, notifications, and proactive compliance reminders.
- Mass designation to efficiently manage and assign large numbers of Designated Persons through a centralized bulk-action interface.
- Manage UPSI of Home and Other Listed & To-Be Listed Entities.
- Specific Deal Teams.
- Project-Specific Deal Teams
- Flexible Entry Logging
- Intuitive UPSI Workflows
- Certified for Regulatory Compliance
- Group UPSI Capture
- Extensive Database of Listed Entities
- Self-Create To-Be-Listed Entities
- Deal Team and Project-Wise Information Barriers
- Auto-file UPSI Entries to Individuals Accounts
- Pre-set and Custom UPSI Descriptions
- Unlimited External Contacts
- Scalable Organizational Units
- Intermediary Pre-Registration
- Advanced Access Controls
- Automated Email Intimation
- Internal Mail Domain Integration
- Functional Group Management
- Restricted Project Access
- Intra-Entity Visibility Barriers
- Automated Audit Trails
- Custom Regulatory Reporting
- Extract data in multiple digital formats
- Regulatory Compliance Certification
- Smart Compliance Control Panel
- Multi-Platform Accessibility
- On-Demand Video Training
- Zero-Touch Email Integration
- Unrecognized Sender / Receiver Alerts
- UPSI Super-Grouping
- Bulk Migration Utility
- Post-Facto PAN Updates
- Intermediary Cross-Integration
- Smart Approval Workflow for SDD
- Real-Time Login Sync
- Project-Based Management
- Functional Group Creation
- Unlimited Contact Inclusion
- Smart Identification
- Seamless Integration of People Details
- Granular Information Barriers within SDD
- Bulk Data Migration
- Automated Identity Alerts
SEBI PIT Regulations – The complete compliance management software.
Employee pre-trade clearance, post-trade verification, holdings tracking and monitoring for completely automated Insider Trading compliance.
ETT
Effortlessly manage individual compliances for designated persons and their connections, fully automated in line with SEBI PIT regulations.
IDD
The most advanced and fully certified SEBI PIT Structured Digital Database; from information barriers to zero-touch email auto-population.
SDD
AFFINISIO PIT SUITE – THE COMPLETE ARCHITECTURE FOR INSIDER TRADING PREVENTION AND COMPLIANCE
Affinisio(SDD) tracks Unpublished Price Sensitive Information or UPSI
Affinisio(IDD) tracks Persons Exposed to such UPSI
Affinisio(ETT) controls, tracks, reviews, reports, monitors and verifies trading by all persons.
Integrate with your internal structures, systems and programs for complete and automated architecture for prevention of insider trading and compliance: Inputs and inflows from HRMS, SSO, Depository Data, Approved Broker Programs, Time-Booking & Billing systems, ERP or Electronic Order Matching Systems like Bloomberg, Research Management and everything in between.
End-to-End Insider Trading Compliance
Automated and Centralized Control for Employee Trade Clearance and Monitoring
Track and manage balances across employees fully automatically for each person and each of their immediate relatives by demat account, by ISIN and by date. Pre-verified trading and tracking by policy, person, exposure and trading account, tying together personal details from Affinisio(IDD) and UPSI details from Affinisio(SDD) for a complete end-to-end SEBI PIT Compliance.
Insiders and Designated Persons Compliance
Centralizing Insider Information with Complete Visibility and Control
Fully automated end-to-end management of all designated persons as well as each of their connected persons, immediate relatives and material financial relationships. Centralized internal and secure Insider Designated Database with designation history, details, affirmations and pre-filled data for annual affirmations or updates across existing employees and new joiners.
SDD for Unpublished Price Sensitive Information Compliance
Streamline your compliance with all-in-one SDD software
The premier SDD Software, advanced; fully automated for complete compliance with SDD requirements under SEBI Prevention of Insider Trading norms – certified for regulatory compliance with immutable audit trails, information barriers and zero-touch email auto-population as well as on-premises deployment ensuring full data ownership.
More than a software application, AFFINISIO IS YOUR COMPLIANCE AND GOVERNANCE CENTER.
All Affinisio applications are backward & forward compatible. Existing required data auto-feeds seamlessly into new ones.
Get AFFINISIO now!
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What’s New
How to Evaluate Insider Trading Compliance Software
Evaluation of insider trading prevention compliance software needs to be connected control at an enterprise level. Review the evaluation criteria.
Insider Trading Prevention: Policies Not Enough.
Bring together information, people, trading controls, monitoring system integrations and intelligence into a single platform for complete and automated insider trading prevention and SEBI Compliance.
When Insider Trading and Disclosure Compliances Meet
As market realities complicate regulatory obligations, criticality of intelligent automation increases – read on for a great example.
Dual-SDD, Banks – Nishant Shah Comments in Mint.
Mr Nishant Shah, CEO, on SEBI requirement for banks to maintain two separate SDD or Structured Digital Databases under SEBI PIT.
