Insider Trading Compliance Software for the UAE
Affinisio(ITC) is the insider trading compliance module of the Affinisio Suite by Affinisio Technologies, built for companies and firms regulated by the CMA (Capital Market Authority) (formerly SCA, the Securities and Commodities Authority). One system for insider lists, trading prohibition periods, pre-clearance and post-trade review — with holdings and trading data held on your own infrastructure, on-premises or in your organisation’s own private cloud, and no vendor access to any of it.
Variants And Features Of Affinisio(ITC)
Choose from the options below to explore product variants and features that make Affinisio(ITC) the Premier Choice
CMA-Licensed Firms
Core
For CMA-Licensed Firms managing multiple client engagements and teams.
Holdings & Disclosures
- Holdings of employees and their connected persons tracked for life — every account, every date.
- One-time disclosure per employee lifetime — annual affirmations then arrive pre-filled.
Pre-Clearance & Policy Controls
- Requests approved or rejected — automatically or manually — against your own rules, preferences and scenarios.
- Every request checked before approval — holdings, balances, outstanding declarations, and contra-trades against your policy’s minimum holding period.
- Granular greylist management — controls set security by security and team by team.
- Policy engine managed in-house by your compliance team — approval validity, holding periods and defaults, with no vendor dependency.
- Approval validity 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
- Email notifications and compliance reminders sent automatically.
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 tracked to completion.
- Smart Compliance Control Panel
- Anti-tip-off controls — requests and approvals are not visible to those who could infer inside information from them.
Integration & Deployment
- Direct, automated synchronisation with Affinisio(IDD)
- Enterprise-grade integration: SSO, LDAP, Bloomberg, time-booking, billing and client-management systems
- Integrated user management and security administration, with Graph API and MFA optional.
- People data via HRMS integration or one-click bulk upload
- On-premises deployment for full data ownership.
- Deployment on your organisation’s own or managed cloud infrastructure.
- Web, desktop and mobile
Prime
For CMA-Licensed Firms needing advanced trading-obligation tracking and independent trade verification with broker.
Everything in Core, plus:
- Employee trades directly from broker feeds, matched by identity and securities account (optional)
Advanced Obligation and Compliance Tracking
- “Trigger-and-forget” onboarding — employees are notified, guided and reminded through to completion.
- Formal waiver requests against your policy’s holding period, for exceptional circumstances.
- Reminders to log executed trades
- Custom reporting timelines and grace periods
- Organisation-managed exemptions if policy provides for pre-approval exemption — bonus issues, stock splits and similar.
- Exception management graded by significance through the Compliance Diary.
- Proof enforcement for holdings and transaction submissions
- Unutilised approvals tracked, managed and reported, with unutilised trade declarations captured.
- Trade action reporting — mandates acted on in part, in full, or not at all.
- 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)
- Market-abuse prevention, including front-running, with direct Bloomberg or EOMS integration (optional).
Listed Entities
Core
For listed companies and their groups.
Holdings & Disclosures
- Holdings of employees and their connected persons tracked for life — every account, every date.
- One-time disclosure per employee lifetime — annual affirmations then arrive pre-filled.
- Shareholder register integration — holdings of all Insiders extracted by identity and securities account, with position changes tracked (optional).
- Every security class covered — equity, preference and listed debt — across all your entity’s ISINs.
Prohibition Period Management
- Prohibition periods triggered managed, notified and tracked for all Insiders.
- Every trade request checked against prohibition periods.
Pre-Clearance & Policy Controls
- Requests approved or rejected — automatically or manually — against your own rules, preferences and scenarios
- Every request checked before approval — holdings, balances, outstanding declarations, and contra-trades against any applicable minimum holding period.
- Policy engine managed in-house by your compliance team — approval validity, any minimum holding periods and defaults, with no vendor dependency.
- Approval validity adjustable case by case.
- Approve or reject from within the email — authenticated, no login needed
Employee Experience
- Self-guided disclosures and compliance for every senior executive and employee.
- Automated new joiner & annual affirmation management
- Email notifications and compliance reminders sent automatically.
Monitoring, Exceptions & Reporting
- Executed trades automatically monitored against every approval condition
- Exception Management Centre for missed declarations — securities or securities 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 tracked to completion.
- Smart Compliance Control Panel
Integration & Deployment
- SSO and LDAP integration.
- Integrated user management and security administration, with Graph API and MFA optional.
- People data via HRMS integration or one-click bulk upload
- On-premises deployment for full data ownership.
- Deployment on your organisation’s own or managed cloud infrastructure.
- Web, desktop and mobile
Prime
For listed companies needing advanced system and shareholder register integrations, and customisation.
Everything in Core, plus:
Shareholder Register & Balance Reconciliation
- Initial holdings updated for all employees directly from shareholder register data (optional).
- Shareholder register balances reconciled against approved holdings on Affinisio (optional).
Advanced Obligation and Compliance Tracking
- “Trigger-and-forget” onboarding — employees are notified, guided and reminded through to completion.
- Formal waiver requests against your policy’s holding period, for exceptional circumstances.
- Reminders to log executed trades
- Custom reporting timelines and grace periods
- Organisation-managed exemptions if policy provides for pre-approval exemption — trades below thresholds, bonus issues and similar.
- Exception management graded by significance through the Compliance Diary.
- Unutilised approvals tracked, managed and reported, with unutilised trade declarations captured.
- Trade action reporting — mandates acted on in part, in full, or not at all.
- Self-reporting of transactions exempted from standard pre-approval requirements
For CMA-Licensed Firms — Affinisio(ITC)
Employee trading compliance extends beyond listed companies to the firms that advise and serve them. A firm licensed by the Capital Market Authority is exposed to inside information in every ISIN it touches, not only in one listed entity’s own securities. UAE capital market law against insider trading extends to such firms — capital markets advisory firms, investment advisers, portfolio management firms, research firms, credit rating agencies, investment funds, private equity and venture capital firms, law firms, chartered accountancy firms, and audit and financial consulting firms in relation to trading by their employees and connected persons.
Every Client Engagement Is A Unique Set Of Compliance Obligations
A listed company restricts trading in one set of securities — its own. A CMA-licensed firm holds inside information for many listed clients at once, so its employees’ personal trading must answer to every live engagement at the same time: a greylist for each client mandate, each with its own securities, timelines, cooling-off periods and obligations; pre-clearance that knows which team sits inside which engagement; and global rules covering permanent insiders and minimum holding periods.
Features And Integrations In Affinisio(ITC) For CMA-Licensed Firms
A confidential greylist for each client mandate, with restrictions and pre-clearance scoped to the securities and the deal team inside each engagement, and every request tested against the firm’s full live book.
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 managed straight through from the firm’s own time-booking, client-billing and conflict-check systems, reducing effort and improving control.
Permanent insiders identified and governed alongside engagement-based designations, under the policy engine your compliance team manages in-house.
Additional review routed to sector or portfolio leads for specialist judgement before the compliance review.
Affinisio(ITC) for CMA intermediaries and fiduciaries is available in two variants: the Affinisio(ITC) CIN Series for firms managing multiple client engagements and teams, and the Affinisio(ITC) PIN Series, which adds advanced trading-obligation tracking and independent custodians and brokers balance monitoring. See details ➤
For Listed Entities — Affinisio(ITC)
For a listed company, the securities that demand the closest watch are its own. Insiders have to be identified and held on a register that is filed with the exchange and kept current as it changes; trading has to be closed during prohibition periods tied to the financial reporting calendar; intended dealings have to go through pre-clearance before an order is placed — approved by the company, and, where the market requires it, by the exchange itself; and holdings and dealings have to be disclosed by the employee to the company and reported onward. Affinisio(ITC) manages this complete workflow, covering all of the company’s own securities of every type as well as those of its group.
From Prohibition Period To Shareholder Register
The shareholder register is central to monitoring at a listed company. It is the independent record of what Insiders and their connected persons actually hold: verified from source, not self-declared. Affinisio(ITC) manages the complete journey around it — ingestion, extraction, comparison and reconciliation — alongside prohibition periods, pre-clearance, approvals and reporting.
Features And Integrations In Affinisio(ITC) For Listed Entities
Track all holdings of the company’s own securities of every type, as well as those of its group.
Shareholder register ingested directly — with extraction by identity and securities account for employees and their connected persons.
Opening balances created straight from the shareholder register, with successive register statements compared and changes in position and holdings reconciled — so the compliance team works exceptions, not data.
Every declaration required from Insiders and their connected persons — collected, recorded and reported, end to end.
Approval thresholds set and managed by the company, with employees below the threshold reporting trades rather than seeking prior approval if permissible under prevailing regulations.
Starting a prohibition period notifies employees, records it and creates the matching prohibitions — in one step.
Affinisio(ITC) for listed entities is available in two variants: the Affinisio(ITC) CLE Series for the complete listed-company compliance workflow, and the Affinisio(ITC) PLE Series, which adds advanced system and shareholder register integrations and customisations. See details ➤
Insider Trading Compliance In The UAE — The Complete Management Software
Insider trading compliance management — built to ease and strengthen compliance with Capital Market Authority (CMA) requirements and your own internal policy.
ITC
(Compliance Officers)
Insider Trading regulatory compliances impact your personal and professional focus. Affinisio(ITC) automates the burden off you so you can focus on what matters.
ITC
(Employees)
Compliance Officers
Affinisio(ITC) is the most advanced and intelligently designed application for regulated organisations to manage compliance with UAE insider trading requirements.
Your business is unique, and so is the way you comply. Manage your own timelines, coverages, teams, quality and exceptions — Affinisio(ITC) updates with your policies seamlessly.
Mid-year joiners. Exception management. Urgent requests. Trading plans. Repeat reminders. People turnover. Coverage changes. Affinisio(ITC) is built for how compliance actually runs.
Affinisio(ITC) tracks holdings across all ISINs, entities and securities accounts of each employee and their connected persons. Independent trade monitoring through broker integration is available as an option.
Track trades by trading account, holdings by securities account, or both. Approved broker programmes are supported.
Clarifications raised against a request. Delegated approvals. Case-by-case changes to approval validity. Every option sits in one approval centre, archived together for ready reference.
Full support for greylists and blacklists as confidential prohibitions. Reviews routed at team, individual or sector level. Seamless integration with order management and time-booking applications.
Detailed reports of all employee holdings, trades, connections and exceptions — a complete view of your insider trading compliance.
Information barriers and controls are built in at root, to manage many external sources of inside information across many internal teams.
Trade requests are checked before they reach Compliance — holdings, balance availability and contra periods — with prompts guiding the employee as they raise the request.
Integration with your HRMS, EOMS, time-booking or CRM applications saves thousands of hours. Full SSO support keeps authentication and onboarding seamless.
Employees
Compliance management software has to work for compliance officers and employees alike. Role-based access for everyone, single sign-on support and information barriers that keep personal and confidential data separate — Affinisio gives you everything you need and nothing you don’t, right at your fingertips.
Upload holdings, raise trading requests, receive updates, log trade execution and view live balances and reports. Role-based access gives employees everything they need and nothing they don’t.
Compliance exceptions are a reality every team has to contend with. Affinisio(ITC) manages them while keeping employee holdings and balances current.
Log trades executed in whole, in part or in stages. Affinisio(ITC) tracks validity against your approval quantity, conditions and timelines — checked upfront, at the moment of logging.
On-screen and email guidance, a usage guide running from quick-start to FAQs to screen-by-screen instructions, and in-app links that connect you directly to our team.
Log against your approval and balances update across holdings, securities accounts and trading accounts — for you and your connected persons. Seamless and self-updating.
Uploadable formats, FAQs, help tips, control notes, usage guidance, guided email alerts and inbox reminders — Affinisio(ITC) is built to make compliance easier for everyone, so you can focus on what matters.
Pre-verified requests move through approval faster. Request once and Affinisio(ITC) does the rest — email notifications, alerts and reminders delivered to your inbox as approvals and actions come through.
Respond to clarifications from within the approval flow. Request special approval timelines. Track progress, and view every historical approval — all in one approval management centre.
Self-manage every investment type — mutual fund units, debentures, IPOs, bonus shares and even unlisted entities. Affinisio(ITC) handles approvals and tracking across all of them.
Raise requests, track status, receive updates, request exceptions and log executed trades — every action available on mobile and tablet as well as desktop.
Features
Affinisio(ITC): Powerful, Intelligently Designed, Intuitive, Seamless
Brokerage firms, investment managers, fiduciaries, custodians, financial consultants, credit rating agencies — all of them face the same layered challenge: many external clients, many projects, and many internal coverage teams, each with a different exposure to inside information.
Balancing employee convenience against the organisation’s compliance obligations takes a particular set of skills.
Balancing ease of use, rapid entry, independent policy management and cost of deployment is daunting. Affinisio(ITC) is built precisely for that balance.
What Affinisio(ITC) Delivers
Real-Time Balances And Transaction Tracking
Immediate visibility of securities holdings for every employee and their connected persons, kept current as positions change. By ISIN. By securities account. By trading account. For everyone covered.
Exceptions Are Part Of Life — Manage Them Seamlessly
Manage exceptions while balances stay accurate. Exception management integrates with your due diligence flow, notifies you for review and approval, and reports so each exception can be addressed on its own merits.
Greylists, Blacklists And Whitelists
Maintain and update the list of prohibited securities. Integrate existing data flows from your trading systems, time-sheet or engagement software. Built-in anti-tip-off controls. Approvals or rejections — automatic or manual — against your own policy.
Integrate Compliance With The Way You Work
Integrate effortlessly with your existing internal systems — from HRMS to Bloomberg to LDAP — through API or SFTP flows. Stronger insider trading compliance, without duplicated effort.
Exportable Reports, Restricted To Those With A Need To Know
Detailed reports on compliance completion status, trading activity, holdings balances, transactions and exceptions — with access restrictions built in, so oversight reaches only those entitled to it.
Set Standard Policies, Manage The Exceptions
Choose workflows that fit your own insider trading policy and the way your organisation works, while retaining the ability to accommodate individual cases on their merits. Exception and case management is integrated throughout.
Broker Integration For Independent Verification
For fully independent monitoring, opt for broker integration and receive trade information matched by identity and securities account. Transaction import verifies against built-in mechanism for documented employee authorisation.
More than a software application, AFFINISIO IS YOUR COMPLIANCE AND GOVERNANCE CENTRE.
All Affinisio applications are backward and forward compatible, so existing data feeds seamlessly into any new one you add.
Get AFFINISIO now!
Have questions? Connect with the Affinisio team.
Affinisio(ITC) FAQs
What is Affinisio(ITC)?
Affinisio(ITC) — Insider Trading Compliance — is the employee trading compliance module of the Affinisio 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 under the UAE Capital Market Regulation Law. 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(ITC)?
Affinisio(ITC) fully automates pre-clearance and policy compliance: designated persons submit trade requests digitally, and the system approves or rejects them — automatically or manually — against restricted lists, trading prohibition and your configured UAE insider trading 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. Beyond approval, employees receive reminders to log the trades they actually execute, and holdings balances update by employee, connected person, securities account, and date, with no manual intervention and detailed audit trail. Affinisio(ITC) also lets you independently manage policy cases that require post-facto reporting without pre-approval, folding them into the same zero-touch management.
Does Affinisio(ITC) support shareholder register reconciliation?
Yes. Affinisio(ITC) matches holdings positions in the shareholder register data for listed entities against employee holdings and pre-clearance records, flagging differences towards undisclosed trades, contra-trades, and trading prohibition violations as exceptions for review.
Can Affinisio(ITC) be deployed on-premises?
Yes. Affinisio(ITC) 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 inside information. Options for cloud-based deployments with a dedicated tenant within a multi-tenanted environment are also offered.
Who is Affinisio(ITC) designed for?
Affinisio(ITC) is designed for CMA-licensed firms (brokerage firms, investment managers, fiduciaries, custodians, financial consultants, credit rating agencies) and of course, listed entities as well as global organisations exposed to multi-country regulations. Product variants are tailored to each segment’s obligations under the UAE Capital Market Regulation Law and codes of conduct, and are further customisable to internal codes, policies, governance, and group structures.
Which UAE listing venues and types of clients does Affinisio(ITC) serve?
Affinisio(ITC) serves companies listed on the Dubai Financial Market (DFM), the Abu Dhabi Securities Exchange (ADX) and Nasdaq Dubai. It also serves firms operating from the UAE’s financial free zones — the Dubai International Financial Centre (DIFC), regulated by the Dubai Financial Services Authority (DFSA), and the Abu Dhabi Global Market (ADGM), regulated by the Financial Services Regulatory Authority (FSRA). Affinisio(ITC) also serves CMA-licensed firms that are exposed to the regulatory compliance requirements such as listing advisory firms, investment advisers, portfolio management firms, research firms, credit rating agencies, investment funds, private equity and venture capital firms, law firms, chartered accountancy firms, and audit and financial consulting firms. Affinisio(ITC) has dedicated variants for listed companies as well as CMA-licensed organisations based on their specific needs.
Is CMA compliance the same as SCA compliance?
Yes. The Securities and Commodities Authority (SCA) became the Capital Market Authority (CMA) with effect from January 2026, when the UAE’s new capital market framework came into force. Insider trading compliance obligations formerly described as SCA compliance are now administered by the CMA, and Affinisio(ITC) manages them under the current framework.
Which markets does Affinisio(ITC) serve?
Affinisio(ITC) serves the United Arab Emirates as its primary regulated market, under the CMA (Capital Market Authority) framework and can also service organisations in Canada, Jamaica, Bermuda, The Bahamas, the Cayman Islands, the United Kingdom, India, 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(ITC) is deployable globally.
