Employee Trading Pre-Approval and Tracker for SEBI PIT Compliance

Affinisio(ETT) is part of the Affinisio suite by Jonosfero for managing SEBI PIT compliance. Swiftly and digitally manage employee pre-trade clearances; holdings, trading pre-clearance, pre and post trade review, monitoring and reporting.

Compliance Officers Employees

employee-trade-pre-clearance-compliance-sec-insider-trading-compliance-software

Variants and Features of Affinisio(ETT)

Choose from the options below to explore product variants and features that make Affinisio(ETT) 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.
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 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(ETT) 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).

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-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.
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.
Deployable fully on-premises for complete data privacy and ownership.
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.

Prime

FOR Listed Entities seeking complete SEBI PIT Compliances as well as advanced or additional system and BENPOS integrations/ customizations.

…all the features of Affinisio(ETT) 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.

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)

Variants and Features of the Complete Affinisio SEBI PIT Suite ➤

SEBI PIT Regulations – The complete compliance management software.

PIT regulatory compliance management; fully automated to ease and enhance compliance with SEBI Regulations on Insider Trading and your internal policies.

ETT

(Compliance Officers)

Insider Trading regulatory compliances impact your personal and professional focus. Affinisio(ETT) automates the burden off you so you can focus on what matters.

ETT

(Employees)

Compliance Officers

Affinisio(ETT) is the most advanced and intelligently designed application for regulated organizations to automate compliance with SEBI PIT regulations. That is why leading SEBI registered Intermediaries and Listed entities across India trust Affinisio

Centrally Control your SEBI PIT Compliance
Your business is unique, so is the way you comply with SEBI PIT Regulations. Independently manage your timelines, coverages, teams, quality & exceptions. Affinisio(ETT) updates with your policies seamlessly.

Designed for Real World SEBI PIT Compliance
Mid-year joiners. Exception management. Urgent requests. Trading plans. Repeat reminders. People turnover. Coverage changes. Affinisio keeps you fully compliant with all real-world circumstances.

Monitor Across Accounts – Demat or Trading
Affinisio(ETT) tracks holdings across all ISINs, Entities & Demat of each employee & his/ her connected person. Opt for fully automated, controlled and independent balance monitoring with NSDL, CDSL integration.

Compliance Tracking with Trades or Holdings
Affinisio(ETT) enables you to track trades by trading accounts or to track holdings in demat accounts or both. With support for any Approved Broker Programs, Affinisio(ETT) is a comprehensive compliance suite.

Advanced Approval Management
Clarification management by request. Delegated approvals or case-specific changes to approval validity. Our highly advanced approval center provides every option and archives it all together for ready reference.

Automated Trade Monitoring for PIT Compliance
Full support for gray-lists or black-lists for automated and confidential prohibitions. Automate team, individual or sector level reviews. Integrate with order management or time-booking applications seamlessly.

PIT Compliance Software with Detailed Reports
Affinisio(ETT) provides detailed reports for all employee holdings, trades, connections, exceptions and compliance timelines for a complete view of compliance with SEBI Prevention of Insider Trading regulations.

Multiple Teams and Multiple Client UPSI?
Information barriers and controls are integrated at root to manage multiple external sources of UPSI across multiple internal teams. That is why the largest banks, advisory firms, funds and rating agencies trust us.

Pre-verified Employee Trading Requests
Affinisio(ETT) pre-verifies validity of trade requests pre-submission to Compliance – from holdings to balance availability to contra periods with helpful prompts for employees when raising requests.

SEBI PIT Regulations; Integrate & Automate
Integration with your HRMS, EOMS, Time-Booking or CRM applications to save thousands of hours. What’s more, full SSO support ensures authentication and onboarding is seamless.

Employees

Compliance Management Software needs to empower Compliance Officers and Employees alike. With independent and role-based accesses for everyone, single sign on support, information barriers for personal and confidential organization, Affinisio gives you everything you need and nothing you don’t. Right at your fingertips. Empower employees to manage their compliances seamlessly and independently.

Independent Compliance Access
Self-upload holdings, raise trading requests, get updates, log trade execution, view live updated balances & reports. With role-based access, employees get all the accesses they need and nothing they don’t.

Fully Integrated Exception Management Centre
Compliance exceptions to SEBI PIT regulations are a reality to contend with. Affinisio(ETT) has the advanced Exception Management to manage compliance while maintaining updated employee holdings balances.

Trade Reporting To Mirror Real Life Trading
Log details of trades executed in whole or part or stages. Affinisio automatically tracks validity against your approval quantity, conditions and timelines. Check validity right upfront at the time of logging.

Insider Trading Compliance; Fully Supported
Fully integrated support with on-screen and email guidance, usage guide with Quick-Start to FAQs to Detailed Screen by Screen instructions as well as direct in-app links for support to connect with our team.

SEBI PIT Compliance; Auto-Updated Holdings
Simply log against your pre-vetted approval to automatically update balances across holdings and demat and trading accounts for yourself and connected persons. Automatic, seamless and self-updating.

SEBI PIT Compliance Management
With uploadable formats, screens, FAQs, help tips, control notes, usage guidance, guided email alerts and inbox reminders, Affinisio is built to make compliance easier for all so you can focus on what matters.

Personal Account Trading; Quick Easy Requests
Pre-verified request to ensure quicker approvals. Request once and Affinisio does the rest automatically with email notifications, alerts and reminders delivered to your inbox to notify you or approvals and actions.

The Most Advanced Approval Management Flow
Respond to clarification from right within the approval flow. Request special approval timelines. View progress of approval. View historical approvals. All with our highly advanced approval management center.

The PIT Software for all Investment Profiles
Quickly and independently self-manage all investment types or accounts internally, mutual fund units, debentures, IPOs, Bonus shares and even unlisted entities. Affinisio enables approvals and track for it all.

Personal Trading Compliance on your Cellphone
With fully integrated support for web-app usage, raise requests, track status, get updates, request exceptions, log executed trades and perform every action on your mobile or tablet in addition to personal computer.

About The Affinisio Suite

Features

Affinisio(ETT): Powerful, Intelligently Designed, Intuitive, Seamless

Merchant Banking Licensees, Mutual Funds, Fiduciaries, Investment and Fund Houses, Market Intermediaries or Credit Rating Agencies; all these organizations face multifaceted challenges. Across multiple external clients, across projects, across multiple internal coverage teams with differing UPSI exposures

Balancing employee inconvenience and frustrations with organizational compliance obligations is a challenge that requires a particular set of skills to balance.

Balancing ease of use, rapid entry, independent policy management and cost of deployment is daunting. Affinisio is the ONLY answer, expertly designed to address these challenges.

SEBI PIT Compliance Delivered

SEBI PIT Compliance; Real Time Balances and Transaction Tracking

Immediate visibility of securities holdings, updated automatically for all employees, their immediate relatives and material financial relationships. Seamlessly and automatically by ISIN. By Demat. By Trading Account. For Everyone covered.

Exception Management Centre

Exceptions Are Part of Life – Manage Them Seamlessly

Enable management of exceptions while maintaining accurate balances. Integrate exception management seamlessly with your due diligence flow. Get notified of exceptions for review and approval. Get report to manage and address exceptions based on individual merits.

Employee Trading Prohibitions

Graylists, Blacklists, or Whitelists – Seamless and Automatic

Maintain and update the list of prohibited securities. Integrate existing data flows from your trading systems, time-sheet or engagement software. Integrate features to prevent tip-off. Automate approvals or rejections based on your policy.

Seamless Integration

Integrate Compliance of PIT Regulations with the Way Your Work

Integrate effortlessly with existing internal systems. Integrate your systems – from your HRMS to Bloomberg to LDAP – pre-empt duplication of effort via API or SFTP flows. Reinforce SEBI PIT compliance capabilities while preventing duplication of effort.

Comprehensive Reporting

Exportable reports restricted to those with a ‘Need-To-Know’

Generate and extract detailed reports on compliance completion status, trading activities, holdings balances, transactions and compliance exceptions. Ensure effective oversight governance for SEBI PIT compliance. Restrictions to reports built-in.

Customizable for SEBI PIT Policies

Set standard policies, enable exception management

Opt for workflows that suit your SEBI PIT regulatory policies to fit organizational needs. Retain the ability to accommodate individual needs on a case-to-case basis. Integrated exception and case management for all circumstances.

Depository Integration

API Integration with Depositories

For completely independent monitoring, opt for integration with NSDL and CDSL for seamless reconciliation reports. Enabled through our partnership with a RBI-regulated Account Aggregator with inbuilt mechanism for employee consent through OTP-based mechanisms.