Pre-Trade Approval Compliance Software Application

Advanced, comprehensive & customizable software for compliance with SEC Insider Trading Regulations. Swiftly, automatically manage 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

Insider Trading Compliance – Managed
The Complete Employee Personal Trading & Tracker

Personal securities trading compliance management; fully automated to ease and enhance compliance with SEC Insider Trading regulations and internal policies.

ETT

(Compliance Officers)

Pre-trade compliance efforts impact your personal and professional focus. Affinisio(ETT) automates the burden away from 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 SEC insider trading regulations.

Centrally Control Your Pre-Trade Compliances
Your business is unique, so is the way you comply with SEC Insider Trading Regulations. Independently manage your governance and review flow, prohibitions, timelines, teams, quality and exception management.

Designed to Manage Real World Complexities
Mid-year joiners. Exception management. Urgent requests. Repeat reminders. People turnover. Coverage changes. Affinis keeps you in full regulatory compliance while managing multiple real-world circumstances.

SEC Regulations; Integrate and Automate
Integration with your HRMS, EOMS, Time-Booking or CRM applications to save thousands of hours. What’s more, multiple SSO support ensures that authentication is seamlessly integrated.

Compliance Tracking with Trades or Holdings
Affinisio(ETT) enables you to track trades or holdings across all broking accounts. From uploadable holdings balances to support for Approved Broker Programs, get comprehensive options to monitor real-world balances.

Advanced Approval & Governance Management
Clarification management by request. Delegate approvals or case-specific updates to custom approval validity. Our advanced approval center arms you with all option & 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, accounts, trades, connections, exceptions and timelines for completely automated management of regulatory compliance with SEC Insider Trading laws.

Pre-verified Employee Trading Requests
Affinisio(ETT) pre-verifies validity of employee requests before sending to Compliance Officers – from holdings to balance availability to contra periods, with helpful prompts for employees raising trading requests.

Multiple Teams and Multiple Sources of UPSI?
Information barriers & controls are integrated at root to keep multiple channels inside information segregated across internal teams. That is why regulated banks, entities, funds & ratings agencies trust us.

Monitor Across Broking Accounts.
Affinisio(ETT) auto-tracks and updates holdings across CUSIPs and broking accounts of each employee as well as each of their connected persons. Balances remain automatically updated and always accessible.

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

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.

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.

SEC Pre-Trade Compliance Automated
Affinisio automatically updates your balances across holdings & accounts for self and connected persons to give you detailed reports of your approvals, holdings, transactions & confirmations.

SEC Pre-Trade Compliance; Auto-Tracked
Simply log against your pre-vetted approval and Affinisio will automatically update balances across CUSIPs and broking accounts for yourself and connected persons.

Integrated Exception Management.
Exception management for SEC insider trading regulations are a reality – Affinisio(ETT) has the most advanced Exception Management center to manage exceptions as well as accurate balances.

Pre-Trade Compliance with Quick Easy Requests
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 of 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.

Pre-Trade Compliance; All Investment Profiles
Quickly and independently self-manage all investment types or accounts; mutual fund units, derivatives, debentures, IPOs, Bonus shares and even unlisted entities. Affinis enables approvals and tracks 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-SEC): Powerful, Intelligently Designed, Intuitive, Seamless

Listed entities, M&A advisory and structuring firms, capital and transaction advisory firms, mutual funds, fiduciaries, investment and fund houses 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 answer expertly designed to address these challenges

SEC Compliance Delivered

Real Time Balances and Transaction Tracking

Immediate visibility of securities holdings, updated automatically for all employees and their associated persons; seamlessly and automatically by CUSIP, ticker symbol or broking account. Instant visibility of ‘Compliant Balances’ as the gold source.

Exception Management Centre

Exceptions Are Part of Life – Manage & Track Them Seamlessly

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

Personal Account 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 Regulatory Compliance with the Way You 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 your 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 SEC Insider Trading compliance. Restrictions to reports built-in.

Customizable Policies

Employee Pre-Trade Compliances Customizable to internal policies’

Opt for workflows that suit your internal regulatory compliance 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.

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More than a software application, AFFINISIO IS YOUR COMPLIANCE AND GOVERNANCE CENTER

All applications in the Affinisio Suite integrate seamlessly with each other and are backward and forward compatible data is shared amongst the applications whenever you upgrade. Automatic, Controlled.