Employee Trading Pre-Approval and Tracker for SEBI PIT Compliance
Affinis(ETT) is part of the Affinis 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.
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. Affinis(ETT) automates the burden off you so you can focus on what matters.
ETT
(Employees)
Compliance Officers
Affinis(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 Affinis
Your business is unique, so is the way you comply with SEBI PIT Regulations. Independently manage your timelines, coverages, teams, quality & exceptions. Affinis(ETT) updates with your policies seamlessly.
Mid-year joiners. Exception management. Urgent requests. Trading plans. Repeat reminders. People turnover. Coverage changes. Affinis keeps you fully compliant with all real-world circumstances.
Affinis(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.
Affinis(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, Affinis(ETT) is a comprehensive compliance suite.
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.
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.
Affinis(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.
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.
Affinis verifies the validity of employee requests before submission to the Compliance Officer – from holdings to balance availability to contra periods. Helpful prompts prior to employees raise trading requests.
Integration with your HRMS, EOMS, Time-Booking or CRMS applications can help you save thousands of hours organizationally. What’s more, multiple SSO support ensures that even authentication is seamlessly integrated.
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, Affinis 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. Affinis(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. Affinis 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 and Affinis will 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, Affinis 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 Affinis 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 center.
Quickly and independently self-manage all investment types or accounts internally, mutual fund units, debentures, IPOs, Bonus shares and even unlisted entities. Affinis 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
Affinis(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. Affinis 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.
More than a software application, AFFINIS IS YOUR COMPLIANCE AND GOVERNANCE CENTER.
All applications in the Affinis Suite integrate seamlessly with each other and are backward and forward compatible data is shared amongst the applications whenever you upgrade. Automatic, Controlled.
Get AFFINIS now!
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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
SEBI PIT Employee Trading Compliance Software
Trading Plans – Reviewing SEBI’s Regulatory Shift
Employee Trade Pre-Clearance – Importance
