Employee Trade Monitoring and Pre-Clearance Software for SEBI PIT Compliance
Affinisio(ETT) is the employee trade monitoring and pre-clearance module of the Affinisio PIT Suite (Prohibition of Insider Trading) by Affinisio Technologies for managing SEBI PIT compliance. Swiftly and digitally manage employee trading pre-clearance, holdings and disclosures, and pre- and post-trade review, monitoring and reporting — with employee demat, holding and trading data held on your own infrastructure, on-premises or in your organisation’s own private cloud, with no vendor access.
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, Fiduciaries
Core
FOR SEBI Intermediaries and Fiduciaries managing multiple client engagements and teams.
Holdings & Disclosures
- Employee and relative holdings tracked for life — every account, every date, zero manual effort
- One-time disclosure per employee lifetime; annual affirmations arrive pre-filled
- Complete securities database of ISINs and entities, with optional live data feed
Pre-Clearance & Policy Controls
- Requests auto-approved or auto-rejected against your own rules, preferences and scenarios
- Every request pre-verified — holdings, balances, declarative compliances and contra-trade detection against contra-periods
- Automated, granular grey list management across securities and teams
- Policy engine managed in-house by your compliance team — approval validity, contra-periods and defaults, no vendor dependency
- Approval durations adjustable case by case
- Approve or reject from within the email — authenticated, no login needed
Employee Experience
- Self-guided compliance for every employee
- Automated new joiner & annual affirmation management
- Automated email intimations, notifications and compliance reminders
Monitoring, Exceptions & Reporting
- Executed trades automatically monitored against every approval condition
- Approval utilisation tracked per trade request — including partial and segmented use
- Integrated exception management for missed or incomplete initial and trade disclosures
- Policy exception reports on demand
- Initial and interim declarations auto-tracked to completion
- Smart Compliance Control Panel
- Anti-tip-off procedures prevent systemic gaming for sensitive information
Integration & Deployment
- Direct, automated synchronisation with Affinisio(IDD)
- Enterprise-grade integration: SSO, LDAP, Bloomberg, time-booking, billing and client-management systems
- Fully integrated user management and security administration section (Graph API and MFA optional)
- People data via HRMS integration or one-click bulk upload
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned or managed cloud infrastructure
- Web, desktop and mobile
Prime
FOR Intermediaries and Fiduciaries needing advanced trading-obligation tracking and independent balance monitoring with NSDL/CDSL.
Everything in Core, plus:
Depository & Balance Monitoring
- On-premises, PAN- and demat-account-based NSDL/CDSL depository integration for employee balances via RBI Account Aggregator partners, with automated OTP-based consent management and tracking (optional)
- Initial holdings updated directly from the depository (optional)
Advanced Obligation and Compliance Tracking
- “Trigger-and-forget” onboarding — intimates, guides and reminds employees through to completion
- Formal contra-period waiver requests for exceptional circumstances
- Reminders to log executed trades
- Custom reporting timelines and grace periods
- Self-managed exemptions where pre-approval is not required — bonus issuances, stock split, scheme of restructure and similar
- Finer exception management linked to significance through the ‘Compliance Diary’
- Proof enforcement for holdings and transaction submissions
- Unutilised approvals tracked, managed and reported; unutilised trade declarations captured
- Trade action reporting — partially, fully or entirely unactioned mandates
- Self-reporting of transactions exempted from standard pre-approval requirements
Advanced Integrations
- Approved Broker Programs fully supported — direct broker-statement integration, live non-compliance alerts (optional)
- Research Analyst trading prohibitions (optional)
- SDD integration “push-enables” prohibitions for persons holding UPSI
- Market-abuse prevention — front-running and more — with direct Bloomberg/EOMS integration (optional)
Listed Entities
Core
FOR Listed Entities.
Holdings & Disclosures
- Employee and relative holdings tracked for life — every account, every date, zero manual effort
- One-time disclosure per employee lifetime; annual affirmations arrive pre-filled
- RTA Beneficiary Position (BENPOS) integration — PAN- and demat-account-based extraction of holdings of all Designated Persons and tracking of position changes (optional)
- Every security class covered — equity, preference and debt-listed — across all your entity’s ISINs
Trading Window Management
- Manage, intimate and track Trading Window closures for all Designated Persons
- Every trade request auto-checked against trading-window closures
Pre-Clearance & Policy Controls
- Requests approved or rejected — automatically or manually — against your own rules, preferences and scenarios
- Every request pre-verified — holdings, balances, declarative compliances and contra-trade detection against contra-periods
- Policy engine managed in-house by your compliance team — approval validity, contra-periods and defaults, no vendor dependency
- Approval durations adjustable case by case
- Approve or reject from within the email — authenticated, no login needed
Employee Experience
- Self-guided, fully automated disclosures and compliance for every KMP and employee
- Automated new joiner & annual affirmation management
- Automated email intimations, notifications and compliance reminders
Monitoring, Exceptions & Reporting
- Executed trades automatically monitored against every approval condition
- Exception Management Centre for missed declarations — securities or demat accounts — and missed trade requests, across employees and all connected persons
- Complete reporting of every trading request, approved or rejected
- Policy exception reports on demand
- Initial and interim declarations auto-tracked to completion
- Smart Compliance Control Panel
Integration & Deployment
- Demat and relative details synchronised directly from Affinisio(IDD)
- Robust security with SSO and LDAP integration
- Fully integrated user management and security administration section (Graph API and MFA optional)
- People data via HRMS integration or one-click bulk upload
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned or managed cloud infrastructure
- Web, desktop and mobile
Prime
FOR Listed Entities needing advanced system and BENPOS integrations and customisations.
Everything in Core, plus:
BENPOS & Balance Reconciliation
- Initial holdings auto-updated for all employees directly from BENPOS data (optional)
- BENPOS balances auto-reconciled against compliant balances on Affinisio (optional)
Advanced Obligation and Compliance Tracking
- “Trigger-and-forget” onboarding — intimates, guides and reminds employees through to completion
- Formal contra-period waiver requests for exceptional circumstances
- Reminders to log executed trades
- Custom reporting timelines and grace periods
- Self-managed exemptions where pre-approval is not required — trades below thresholds, bonus issuances and similar
- Finer exception management linked to significance through the ‘Compliance Diary’
- Unutilised approvals tracked, managed and reported; unutilised trade declarations captured
- Trade action reporting — partially, fully or entirely unactioned mandates
- Self-reporting of transactions exempted from standard pre-approval requirements
Advanced Integrations
- SDD integration “push-enables” prohibitions for persons holding UPSI
Mutual Funds, Listed Intermediaries
Mutual Funds or Listed Intermediaries
FOR SEBI Regulated Mutual Funds and AMCs — covering employees, access persons and trustees — and for Intermediaries that are Listed.
Holdings & Disclosures
- Employee and relative holdings tracked for life — every account, every date, zero manual effort
- One-time disclosure per employee lifetime; annual affirmations arrive pre-filled
- Complete securities database of ISINs and entities, with optional live data feed
- Every security class covered — equity, preference and debt-listed — across all your entity’s ISINs
Trading Window Management
- Manage, intimate and track Trading Window closures for all Designated Persons
- Every trade request auto-checked against trading-window closures
Pre-Clearance & Policy Controls
- Requests auto-approved or auto-rejected against your own rules, preferences and scenarios
- Every request pre-verified — holdings, balances, declarative compliances and contra-trade detection against contra-periods
- Automated, granular grey list management across securities and teams
- Policy engine managed in-house by your compliance team — approval validity, contra-periods and defaults, no vendor dependency
- Approval durations adjustable case by case
- Approve or reject from within the email — authenticated, no login needed
Employee Experience
- Automated new joiner & annual affirmation management
- Automated email intimations, notifications and compliance reminders
Monitoring, Exceptions & Reporting
- Executed trades automatically monitored against every approval condition
- Approval utilisation tracked per trade request — including partial and segmented use
- Exception Management Centre for missed declarations — securities or demat accounts — and missed trade requests, across employees and all connected persons
- Complete reporting of every trading request, approved or rejected
- Policy exception reports on demand
- Initial and interim declarations auto-tracked to completion
- Smart Compliance Control Panel
- Anti-tip-off procedures prevent systemic gaming for sensitive information
BENPOS & Unitholder Reconciliation
- Beneficiary Position (BENPOS) integration from RTA or Register of Unitholders — extract holdings of all Designated Persons and track position changes (optional)
- Initial holdings auto-updated for all employees directly from BENPOS or Unitholder data (optional)
- BENPOS or Unitholder balances auto-reconciled against compliant balances on Affinisio (optional)
Depository & Balance Monitoring
- Initial holdings updated directly from the depository (optional)
- Fully automated consent lifecycle management for all employee-to-depository consents (optional)
- Balance reconciliation, depository statement of balances or Mutual Fund statements of account, Affinisio(ETT) has you covered
Advanced Obligation and Compliance Tracking
- “Trigger-and-forget” onboarding — intimates, guides and reminds employees through to completion
- Formal contra-period waiver requests for exceptional circumstances
- Reminders to log executed trades
- Custom reporting timelines and grace periods
- Self-managed exemptions where pre-approval is not required — bonus issuances, stock split, scheme of restructure and similar
- Finer exception management linked to significance through the ‘Compliance Diary’
- Unutilised approvals tracked, managed and reported; unutilised trade declarations captured
- Trade action reporting — partially, fully or entirely unactioned mandates
- Self-reporting of transactions exempted from standard pre-approval requirements
- Proof enforcement for holdings and transaction submissions
Advanced Integrations & Deployment
- Approved Broker Programs fully supported — direct broker-statement integration, live non-compliance alerts (optional)
- Research Analyst trading prohibitions (optional)
- Market-abuse prevention — front-running and more — with direct Bloomberg/EOMS integration (optional)
- SDD integration “push-enables” prohibitions for persons holding UPSI
- Direct, automated synchronisation with Affinisio(IDD)
- Enterprise-grade integration: SSO, LDAP, Bloomberg and EOMS
- Fully integrated user management and security administration section (Graph API and MFA optional)
- People data via HRMS integration or one-click bulk upload
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned or managed cloud infrastructure
- Web, desktop and mobile
For SEBI Intermediaries and Fiduciaries – Affinisio(ETT)
Employee trading compliance extends beyond listed companies to the complexities faced by SEBI-registered intermediaries and fiduciaries, which are theoretically exposed to insider trading in every ISIN, not just a listed entity’s own. Under Regulation 9 of the SEBI (Prohibition of Insider Trading) Regulations, 2015, such intermediaries and fiduciaries (merchant bankers, investment advisers, portfolio management service firms, research firms, credit rating agencies, Alternative Investment Funds, private equity and venture capital firms, law firms, chartered accountancy firms, audit and financial consulting firms) must formulate and enforce a code of conduct that regulates, monitors and reports trading by their designated persons, to the minimum standards of Schedule C.
Every Client Engagement Is A Unique Set of Compliance Obligations
A listed company restricts trading in one set of securities (its own). An intermediary or fiduciary holds UPSI of many listed clients at once, so its employees’ personal trading must answer to every live engagement simultaneously: grey lists per client mandate, each with its own rules in terms of securities, timelines, cooling periods and obligations, and pre-clearance that knows which team is inside which engagement, with additional global rules addressing permanent insiders and contra-rules.
Features and Integrations in Affinisio(ETT) for intermediaries and fiduciaries
Confidential grey lists per client mandate, with automated controls scoped to the securities and teams inside each engagement.
Every trading request verified against all restrictions the firm’s live engagements impose, not merely a single issuer’s calendar.
Strict information barriers, so policies and restrictions are applicable only to the designated members inside each client engagement.
Restrictions adjust to the type of security, with configurable cooling-off periods that persist after an engagement ends and expire automatically.
Trade data pulled from the firm’s trading and order management systems (EOMS), so employee dealing is checked against order flow and by portfolio.
Prohibitions auto-managed straight through from the firm’s own time-booking, client-billing and conflict-check systems to reduce effort and improve controls.
Holdings straight from NSDL and CDSL via an RBI-regulated Account Aggregator with OTP-based consent (no OCR, no extra personal data, fully on-premises).
Permanent insiders identified and governed alongside engagement-based designations, under the policy engine your compliance team manages in-house.
Automated additional review routed to sector or portfolio leads for specialist judgement prior to compliance review.
Affinisio(ETT) for SEBI intermediaries and fiduciaries is available in two variants: the Affinisio(ETT) CIN Series for firms managing multiple client engagements and teams, and the Affinisio(ETT) PIN Series, which adds advanced trading-obligation tracking and independent NSDL and CDSL balance monitoring. See details ➤
For SEBI Listed Entities – Affinisio(ETT)
For a listed company, the securities that demand the closest watch are its own. SEBI’s PIT framework requires the company to monitor dealings by its designated persons and their immediate relatives in the company’s securities: trading windows must be closed and communicated around price-sensitive events, trades above thresholds need pre-clearance, contra-trades must be caught, and holdings and dealings must be disclosed (by the employee to the company, and by the company onwards to the stock exchanges). Affinisio(ETT) manages this complete workflow, covering all of the company’s own securities of every type as well as those of its subsidiaries.
From Trading Window To BENPOS (Fully Automated)
What is key to monitoring at a listed company is the BENPOS (the beneficial position statement produced by the depositories through the company’s registrar). It is the independent record of what designated persons and their immediate relatives actually hold (verification from the depositories, not self-declaration). Affinisio(ETT) automates the complete journey around it (ingestion, extraction, comparison and reconciliation), alongside trading windows, pre-clearance, approvals and reporting.
Features and Integrations in Affinisio(ETT) for Listed Entities
Add and manage all of the company’s own securities of every type, as well as those of its subsidiaries or group, for integrated tracking.
BENPOS ingested directly (through RTA push integration or by upload), with PAN and demat account based extraction for employees, immediate relatives or Material Financial Relationships.
Create opening balances for employees and their relatives straight from the BENPOS (no manual data entry at go-live).
Successive BENPOS statements compared automatically, with changes in positions highlighted for the compliance team based on configurable thresholds.
BENPOS holdings reconciled against the balances recorded in Affinisio(ETT), so you can concentrate on exceptions for review and reporting.
All declarative compliances of designated persons managed automatically, from collection through to records and reporting.
Approval thresholds set and managed by the company, with employees below thresholds empowered to simply report trades without prior approval.
Closing the trading window intimates employees, records the closure and creates the matching prohibitions (all in one go).
Contra period exception requesting, approval and reporting integrated into one streamlined request flow.
Affinisio(ETT) for listed entities is available in two variants: the Affinisio(ETT) CLE Series for the complete listed-company compliance workflow, and the Affinisio(ETT) PLE Series, which adds advanced system and BENPOS integrations and customisations. See details ➤
For Mutual Funds and Asset Management Companies – Affinisio(ETT)
A mutual fund house answers to two distinct sets of SEBI obligations at once, because its people are regulated in two capacities.
For dealing in units, SEBI’s amendment notified on 24 November 2022 (in force from 1 November 2024) brought mutual fund units within the SEBI (Prohibition of Insider Trading) Regulations, 2015. As the issuer of its schemes’ units, the fund house stands closer to a listed entity: its designated persons, its trustees and their immediate relatives are regulated in the units of the house’s own schemes, with holdings reportable and larger transactions reaching the compliance officer within prescribed timelines. Regulation 5C puts the prohibition directly:
“No insider shall trade in the units of a scheme of a mutual fund, when in possession of unpublished price sensitive information, which may have a material impact on the net asset value of a scheme or may have a material impact on the interest of the unit holders of the scheme.”
SEBI, AMFI, Trustees to Auditors – Sorted with Affinisio(ETT) for Mutual Funds
For dealing in securities, SEBI’s Guidelines for Investment/Trading in Securities by Employees of Asset Management Companies and Mutual Fund Trustee Companies (first issued in 2001 and updated since) prescribe the market-conduct machinery in detail: written pre-clearance from the compliance officer with time-limited validity, cooling-off periods where a scheme holds or is dealing in the security, restrictions on short-term round-trip trades, delivery before resale, and periodic reporting of employee holdings. The Guidelines name the “access persons” to whom the strictest rules apply (fund managers, dealers, research analysts, fund operations and heads of divisions) and they are unambiguous on the core offence: “Any transaction of front running by any employee directly or indirectly is strictly prohibited.” AMFI rule implementation moulded to your organisation structure with the seamless ease of customisation from our product experts.
Here the fund house stands closer to an intermediary: exposed, in principle, across every security its teams research, deal in and manage.
Affinisio(ETT)’s mutual fund variant operationalises both sets of obligations (the unit-dealing restrictions of the PIT Regulations and the market-conduct machinery of the employee-dealing Guidelines) in one system:
Features and Integrations in Affinisio(ETT) for Mutual Funds
Written pre-clearance routed digitally to the compliance officer, with approval validity windows and round-trip restrictions applied automatically.
Dealings in scheme units and securities governed in one place for employees, Access Persons, Trustees and all immediate relatives.
Restrictions applied scheme by scheme, so securities a scheme holds or is dealing in automatically restrict the employees connected to it.
Holdings straight from NSDL and CDSL via an RBI-regulated Account Aggregator (OTP consent, no OCR, no extra personal data, include SOA, fully on-premises).
Trade data pulled from the house’s trading and order management systems (EOMS), so employee dealing is checked against order flow and by scheme portfolio.
Reporting duties under the PIT Regulations and the employee-dealing Guidelines captured, tracked and evidenced on time (audit-ready for SEBI and trustees).
Access persons classified by role (fund managers, dealers, research and operations) with the controls applied automatically.
Permanent insiders identified and governed alongside role-based Access Person designations, under the policy engine your compliance team manages in-house.
Automated additional review routed to sector or portfolio leads or trade desk heads for specialist judgement prior to compliance review.
Affinisio(ETT) for mutual funds and asset management companies is available as the Affinisio(ETT) PRO Series, covering employees, access persons and trustees (and also serving intermediaries that are themselves listed). See details ➤
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 organisations to automate compliance with SEBI PIT regulations. That is why leading SEBI registered Intermediaries and Listed entities across India trust Affinisio
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.
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.
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.
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.
Clarification management by request. Delegated approvals or case-specific changes to approval validity. Our highly advanced approval centre provides every option and archives it all together for ready reference.
Full support for grey 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.
Affinisio(ETT) provides detailed reports of all employee holdings, trades, connections and exceptions for a complete view of compliance with the SEBI (Prohibition of Insider Trading) Regulations, 2015.
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.
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.
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 organisation, Affinisio gives you everything you need and nothing you don’t. Right at your fingertips. Empower employees to manage their compliances seamlessly and independently.
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.
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.
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.
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.
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.
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.
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.
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 centre.
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.
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.
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 organisations face multifaceted challenges. Across multiple external clients, across projects, across multiple internal coverage teams with differing UPSI exposures
Balancing employee inconvenience and frustrations with organisational 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
Greylists, 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.
Customisable for SEBI PIT Policies
Set standard policies, enable exception management
Opt for workflows that suit your SEBI PIT regulatory policies to fit organisational 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 PAN- and demat-account-based reconciliation reports. Enabled through our partnership with a RBI-regulated Account Aggregator with inbuilt mechanism for employee consent through OTP-based mechanisms.
More than a software application, AFFINISIO IS YOUR COMPLIANCE AND GOVERNANCE CENTRE.
All Affinisio applications are backward & forward compatible. Existing required data auto-feeds seamlessly into new ones.
Get AFFINISIO now!
Have questions? Connect with the Affinisio team.
Affinisio is trusted by market leaders, intermediaries like portfolio and asset management firms, merchant bankers, research firms, AIFs, credit rating agencies, listed entities, fiduciaries and conglomerates. See the list of incredible clients we have the pleasure of serving.
Affinisio(ETT) FAQs
What is Affinisio(ETT)?
Affinisio(ETT) — Employee Trading & Tracking — is the employee trading compliance module of the Affinisio PIT Suite by Affinisio Technologies LLP: insider trading compliance software that fully automates personal trading (personal account dealing) pre-clearance, holdings disclosures, contra-trade detection, and pre- and post-trade monitoring and tracking for compliance with the SEBI (Prohibition of Insider Trading) Regulations, 2015 in India. Deployed on-premises or within your own private cloud tenancy, it keeps employee trading data under your administrative control, with no vendor access. It also offers multiple options for external surveillance.
How does trade pre-clearance work in Affinisio(ETT)?
Affinisio(ETT) fully automates pre-clearance: designated persons submit trade requests digitally, and the system approves or rejects them automatically against restricted lists, trading-window status, and your configured SEBI PIT policy rules across persons, departments, teams, or security types. Where a policy requires judgement, specific cases can be carved out through a built-in exception mechanism and routed to the compliance officer. The automation extends beyond approval — employees receive automated reminders to log the trades they actually execute, and holdings balances update automatically by employee, connected person, demat account, and date, with zero manual intervention and a time-stamped audit trail. Affinisio(ETT) also lets you independently manage policy cases that require post-facto reporting without pre-approval, folding them seamlessly into the same fully automated, zero-touch management.
Does Affinisio(ETT) support BENPOS reconciliation?
Yes. ETT matches beneficiary-position (BENPOS) data for listed entities and mutual funds against employee holdings and pre-clearance records to automatically flag undisclosed trades, contra-trades, and trading-window violations as exceptions for review. Affinisio(ETT) can even automatically send queries to employees to collect their explanations for variations — taking the automation further and enabling the compliance officer to review exceptions alongside explanations before decisioning.
Can Affinisio(ETT) be deployed on-premises?
Yes. Affinisio(ETT) is available for on-premises deployment as well as private cloud, so organisations with strict data-residency and internal-control policies can keep all compliance data on their own infrastructure — Affinisio never has access to UPSI. For deployments that do not involve SDD, a cloud-based option is also available, with a dedicated tenant within a multi-tenanted environment.
Who is Affinisio(ETT) designed for?
Affinisio(ETT) is designed for SEBI-registered intermediaries, listed entities, fiduciaries, mutual funds, and global organisations exposed to multi-country regulations. Product variants are tailored to each segment’s obligations under the SEBI PIT Regulations and codes of conduct, and are further customisable to internal codes, policies, governance, and group structures.
Does Affinisio(ETT) manage trading-window closures and prohibitions?
Yes. Trading windows, closure notifications, employee-level prohibitions, dedicated team-level prohibitions, and exception requests are managed centrally through the Exception Management Centre, with comprehensive reporting for audits and inspections. Integrated contra-period waivers and trading plan trackers enable further granular control without any manual intervention.
Which markets does Affinisio(ETT) serve?
Affinisio(ETT) serves India as its primary regulated market, under the SEBI (Prohibition of Insider Trading) framework and can also service organisations in Canada, Jamaica, Bermuda, The Bahamas, the Cayman Islands, the United Kingdom, Ireland, Switzerland, the Netherlands, Malta, Cyprus, Australia, New Zealand, Hong Kong SAR, Singapore, Malaysia, the Philippines, Sri Lanka, Fiji, South Africa, Nigeria, Kenya, Ghana, Mauritius, Botswana, Namibia, Zimbabwe, Uganda and the United States of America. Affinisio(ETT) is deployable globally.
Pre-Approval for Rights Shares
BENPOS in SEBI PIT Regulations
Statement of Holdings in PIT Regulations
Trades Executed Were Not Based on UPSI
What’s New
How to Evaluate Insider Trading Compliance Software
Insider Trading Prevention: Policies Not Enough.
On-Premises vs SaaS – The Primer
