Variants and Features of the Complete Affinisio(PIT) Suite
Choose from the options below to explore product variants and features that make Affinisio(PIT) the Premier Choice
The Affinisio PIT (Prohibition of Insider Trading) Suite comprises three distinct and fully integrated modules — Affinisio(ETT), Affinisio(IDD) and Affinisio(SDD).
Intermediaries, Fiduciaries
Core
CIN Series
FOR SEBI Intermediaries and Fiduciaries managing multiple client engagements and teams.
Affinisio(ETT) — Employee Trading & Tracking
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, contra-periods and declarative compliances
- 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
- Anti-tip-off procedures prevent systemic gaming for sensitive information
Affinisio(IDD) — Insider Designated Database
DP Onboarding & Lifecycle
- “Trigger-and-forget” onboarding — intimates, guides and reminds Designated Persons through to completion
- Details arrive pre-filled for every Designated Person once updated initially
- Automated new joiner & annual cycle management
- Automated email intimations, notifications and compliance reminders
Centralised Insider Repository
- One centralised, constantly updated Insider repository of all Designated Persons
- Immediate relatives and material financial relationships (MFR) tracked centrally
- Education, work history and account details tracked centrally
Monitoring & Reporting
- Automated action tracker report
Affinisio(SDD) — Structured Digital Database
Complete Regulatory Compliance
- Certified for regulatory compliance with immutable and detailed audit trails and time stamping
- Extract data in multiple digital formats
- Custom regulatory reports, ready for SEBI inspection
UPSI Capture & Workflows
- Flexible UPSI entry logging — capture as sender, receiver or central point of contact in one smooth flow
- Intuitive UPSI workflows that guide every entry
- Group UPSI capture — log one event across multiple recipients in a single entry
- UPSI entries auto-filed to each individual’s account as sender or receiver
- Pre-created UPSI descriptions, controlled by the Compliance Officer for consistent, audit-ready entries
- Custom UPSI descriptions where standard labels don’t fit
- Automated email intimations to all parties upon logging of entries
Deal Teams & Information Barriers
- Project-specific deal teams, with project access limited to their own engagements
- Information barriers by deal team and by project
Entities & Contacts
- Extensive pre-loaded database of listed entities
- Self-create “to-be-listed” entities for pre-IPO and proposed-listing engagements
- Unlimited internal and external contacts — counterparties, advisors and other fiduciaries
- Pre-register intermediaries for cleaner cross-entity sharing records
Training
- Option for on-demand video-based training
Prime
PIN Series
FOR Intermediaries and Fiduciaries needing advanced policy governance management automations and system integrations as well as balance and obligation monitoring across the suite.
Affinisio(ETT) — Employee Trading & Tracking
Everything in Core, plus:
Depository & Balance Monitoring
- On-premises 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)
Explore Affinisio(ETT) in full →
Affinisio(IDD) — Insider Designated Database
Everything in Core, plus:
Advanced Designation & Reporting
- Mass designation — assign and manage large numbers of Designated Persons through one bulk-action interface
- DP timeline reporting — chronological tenure and status history for every Designated Person
- Material entity reporting — identify and track all material subsidiaries and associated entities
- Compliance intimation trail to intimate compliance obligations and retain a centralised, evidentiary trail of all exceptions and responses
Explore Affinisio(IDD) in full →
Affinisio(SDD) — Structured Digital Database
Everything in Core, plus:
Advanced UPSI Controls & Integrations
- Zero-touch email integration — UPSI communications logged automatically and securely
- Automated alerts for unrecognised senders or receivers in Zero-touch email integration
- UPSI super-grouping for alternative descriptors
- Smart approval workflow when recording UPSI flow on behalf of others (optional)
- Integration through bulk update for historical SDD data
- Post-facto PAN updates without breaking historical entries
- Cross-integration with other intermediaries’ Affinisio(SDD) systems
Integration & Deployment — Across the Affinisio PIT Suite
- Robust, enterprise-grade security with SSO and LDAP integration
- Enterprise-grade integrations across Bloomberg, EOMS, 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
- Smart Compliance Control Panel
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned cloud infrastructure
- Web, desktop and mobile
Listed Entities
Core
CLE Series
FOR Listed Entities.
Affinisio(ETT) — Employee Trading & Tracking
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 — extract holdings of all Designated Persons and track 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, contra-periods and declarative compliances
- 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
Affinisio(IDD) — Insider Designated Database
DP Onboarding & Lifecycle
- “Trigger-and-forget” onboarding — intimates, guides and reminds Designated Persons through to completion
- Details arrive pre-filled for every Designated Person once updated initially
- Automated new joiner & annual cycle management
- Automated email intimations, notifications and compliance reminders
Centralised Insider Repository
- One centralised, constantly updated Insider repository of all Designated Persons
- Immediate relatives and material financial relationships (MFR) tracked centrally
- Education, work history and account details tracked centrally
Monitoring & Reporting
- Automated action tracker report
Affinisio(SDD) — Structured Digital Database
Complete Regulatory Compliance
- Certified for regulatory compliance with immutable and detailed audit trails and time stamping
- Extract data in multiple digital formats
- Custom regulatory reports, ready for SEBI inspection
UPSI Capture & Workflows
- Flexible UPSI entry logging — capture as sender, receiver or central point of contact in one smooth flow
- Intuitive UPSI workflows that guide every entry
- Group UPSI capture — log one event across multiple recipients in a single entry
- UPSI entries auto-filed to each individual’s account as sender or receiver
- Pre-created UPSI descriptions, controlled by the Compliance Officer for consistent, audit-ready entries
- Custom UPSI descriptions where standard labels don’t fit
- Unlimited internal and external contacts — counterparties, advisors and other fiduciaries
- Automated email intimations to all parties upon logging of entries
Deal Teams & Information Barriers
- Project-based management of UPSI events end to end
- Functional groups to organise people by department, function or team
- Restricted project access on a strict need-to-know basis
Training
- Option for on-demand video-based training
Prime
PLE Series
FOR Listed Entities needing advanced BENPOS reconciliation, UPSI controls and designation management across the suite.
Affinisio(ETT) — Employee Trading & Tracking
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
Explore Affinisio(ETT) in full →
Affinisio(IDD) — Insider Designated Database
Everything in Core, plus:
Advanced Designation & Reporting
- Mass designation — assign and manage large numbers of Designated Persons through one bulk-action interface
- DP timeline reporting — chronological tenure and status history for every Designated Person
- Material entity reporting — identify and track all material subsidiaries and associated entities
- Compliance intimation trail to intimate compliance obligations and retain a centralised, evidentiary trail of all exceptions and responses
Explore Affinisio(IDD) in full →
Affinisio(SDD) — Structured Digital Database
Everything in Core, plus:
Advanced UPSI Controls & Integrations
- Granular information barriers within the entity
- UPSI super-grouping for alternative descriptors
- Zero-touch email integration — UPSI communications logged automatically, internally and securely
- Automated alerts for unrecognised senders or receivers in Zero-touch email integration
- Smart approval workflow when recording UPSI flow on behalf of others (optional)
- Integration through bulk update for historical SDD data
- Post-facto PAN updates without breaking historical entries
Integration & Deployment — Across the Affinisio PIT Suite
- Robust, enterprise-grade security with SSO and LDAP integration
- Enterprise-grade integrations across Bloomberg, EOMS, 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
- Smart Compliance Control Panel
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned cloud infrastructure
- Web, desktop and mobile
Mutual Funds, Listed Intermediaries
Mutual Funds or Listed Intermediaries
PRO Series
FOR SEBI Regulated Mutual Funds or for Intermediaries that are Listed.
Affinisio(ETT) — Employee Trading & Tracking
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, contra-periods and declarative compliances
- 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
- 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
- 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)
Explore Affinisio(ETT) in full →
Affinisio(IDD) — Insider Designated Database
DP Onboarding & Lifecycle
- “Trigger-and-forget” onboarding — intimates, guides and reminds Designated Persons through to completion
- Details arrive pre-filled for every Designated Person once updated initially
- Automated new joiner & annual cycle management
- Automated email intimations, notifications and compliance reminders
Centralised Insider Repository
- One centralised, constantly updated Insider repository of all Designated Persons
- Immediate relatives and material financial relationships (MFR) tracked centrally
- Education, work history and account details tracked centrally
Monitoring & Reporting
- Automated action tracker report
Advanced Designation & Reporting
- Mass designation — assign and manage large numbers of Designated Persons through one bulk-action interface
- DP timeline reporting — chronological tenure and status history for every Designated Person
- Material entity reporting — identify and track all material subsidiaries and associated entities
- Compliance intimation trail to intimate compliance obligations and retain a centralised, evidentiary trail of all exceptions and responses
Explore Affinisio(IDD) in full →
Affinisio(SDD) — Structured Digital Database
Complete Regulatory Compliance
- Certified for regulatory compliance with immutable and detailed audit trails and time stamping
- Extract data in multiple digital formats
- Custom regulatory reports, ready for SEBI inspection
UPSI Capture & Workflows
- Flexible UPSI entry logging — capture as sender, receiver or central point of contact in one smooth flow
- Intuitive UPSI workflows that guide every entry
- Group UPSI capture — log one event across multiple recipients in a single entry
- UPSI entries auto-filed to each individual’s account as sender or receiver
- Pre-created UPSI descriptions, controlled by the Compliance Officer for consistent, audit-ready entries
- Custom UPSI descriptions where standard labels don’t fit
- Automated email intimations to all parties upon logging of entries
Deal Teams & Information Barriers
- Project-specific deal teams, with project access limited to their own engagements
- Information barriers by deal team and by project
- Project-based management of UPSI events end to end
- Functional groups to organise people by department, function or team
- Restricted project access on a strict need-to-know basis
- Intra-entity visibility barriers
Entities & Contacts
- Manage UPSI of your own entity and of other listed and to-be-listed entities in one system
- Scalable organisational units for group structures
- Extensive pre-loaded database of listed entities
- Self-create “to-be-listed” entities for pre-IPO and proposed-listing engagements
- Unlimited internal and external contacts — counterparties, advisors and other fiduciaries
- Pre-register intermediaries for cleaner cross-entity sharing records
Advanced UPSI Controls & Integrations
- Zero-touch email integration — UPSI communications logged automatically and securely
- Automated alerts for unrecognised senders or receivers in Zero-touch email integration
- UPSI super-grouping for alternative descriptors
- Smart approval workflow when recording UPSI flow on behalf of others (optional)
- Integration through bulk update for historical SDD data
- Post-facto PAN updates without breaking historical entries
- Cross-integration with other intermediaries’ Affinisio(SDD) systems
- Granular information barriers within the entity
- Internal mail-domain integration
Explore Affinisio(SDD) in full →
Integration & Deployment — Across the Affinisio PIT Suite
- Robust, enterprise-grade security with SSO and LDAP integration
- Enterprise-grade integrations across Bloomberg, EOMS, 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
- Smart Compliance Control Panel
- On-Premise deployment for full data ownership
- Flexible deployments optimised for your organisation’s owned cloud infrastructure
- Web, desktop and mobile
SEBI PIT Regulations – The complete compliance management software.
Employee pre-trade clearance, post-trade verification, holdings tracking and monitoring for completely automated Insider Trading compliance.
ETT
Effortlessly manage individual compliances for designated persons and their connections, fully automated in line with SEBI PIT regulations.
IDD
The most advanced and fully certified SEBI PIT Structured Digital Database; from information barriers to zero-touch email auto-population.
SDD
AFFINISIO PIT SUITE – THE COMPLETE ARCHITECTURE FOR INSIDER TRADING PREVENTION AND COMPLIANCE
Affinisio(SDD) tracks Unpublished Price Sensitive Information or UPSI
Affinisio(IDD) tracks Persons Exposed to such UPSI
Affinisio(ETT) controls, tracks, reviews, reports, monitors and verifies trading by all persons.
Integrate with your internal structures, systems and programs for complete and automated architecture for prevention of insider trading and compliance: Inputs and inflows from HRMS, SSO, Depository Data, Approved Broker Programs, Time-Booking & Billing systems, ERP or Electronic Order Matching Systems like Bloomberg, Research Management and everything in between.
End-to-End Insider Trading Compliance
Automated and Centralised Control for Employee Trade Clearance and Monitoring
Track and manage balances across employees fully automatically for each person and each of their immediate relatives by demat account, by ISIN and by date. Pre-verified trading and tracking by policy, person, exposure and trading account, tying together personal details from Affinisio(IDD) and UPSI details from Affinisio(SDD) for a complete end-to-end SEBI PIT Compliance.
Insiders and Designated Persons Compliance
Centralising Insider Information with Complete Visibility and Control
Fully automated end-to-end management of all designated persons as well as each of their connected persons, immediate relatives and material financial relationships. Centralised internal and secure Insider Designated Database with designation history, details, affirmations and pre-filled data for annual affirmations or updates across existing employees and new joiners.
SDD for Unpublished Price Sensitive Information Compliance
Streamline your compliance with all-in-one SDD software
The premier SDD Software, advanced; fully automated for complete compliance with SDD requirements under the SEBI (Prohibition of Insider Trading) Regulations, 2015 – certified for regulatory compliance with immutable audit trails, information barriers and zero-touch email auto-population as well as on-premises deployment ensuring full data ownership.
For SEBI Intermediaries and Fiduciaries – Affinisio PIT Suite
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 Presents A Unique Combination 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.
Alongside Affinisio(ETT), the suite completes the intermediary workflow: Affinisio(SDD) maintains engagement-wise structured digital databases with strict information barriers for UPSI, and Affinisio(IDD) keeps the register of designated persons, their immediate relatives and material financial relationships current for every mandate.
Features and Integrations in the Affinisio PIT Suite 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.
Structured digital databases maintained per engagement through Affinisio(SDD) using a Project-based filing system to capture UPSI, senders and recipients with immutable audit trails.
Project-level information barriers built on deal teams through Affinisio(SDD), so segregation follows the engagement rather than the firm.
Affinisio(IDD) maintains prohibitions for designated persons, immediate relatives and material financial relationships by mandate, aided by DP self-service onboarding.
For SEBI intermediaries and fiduciaries, the Affinisio PIT Suite is available in two variants: the CIN Series for firms managing multiple client engagements and teams, and the PIN Series, which adds advanced trading-obligation tracking and independent NSDL and CDSL balance monitoring. See details ➤
For SEBI Listed Entities – Affinisio PIT Suite
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.
SDD to Trading Window and BENPOS to Reporting (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.
Alongside Affinisio(ETT), Affinisio(SDD) maintains the listed company’s structured digital database of UPSI exactly as SEBI requires, and Affinisio(IDD) keeps the designated persons register (including immediate relatives and material financial relationships) current through DP self-service.
Features and Integrations in the Affinisio PIT Suite 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(SDD) maintains the listed company’s structured digital database, capturing UPSI shared and received with non-tamperable records.
Every SDD entry time-stamped and immutable, ready for SEBI inspection without manual assembly.
Affinisio(IDD) keeps the designated persons register current (including immediate relatives and material financial relationships) through DP self-service.
For listed entities, the Affinisio PIT Suite is available in two variants: the CLE Series for the complete listed-company compliance workflow, and the PLE Series, which adds advanced system and BENPOS integrations and customisations. See details ➤
For Mutual Funds and Asset Management Companies – Affinisio PIT Suite
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 (in force from 1 November 2024) brought mutual fund units within the SEBI (Prohibition of Insider Trading) Regulations, 2015: designated persons, trustees and their immediate relatives are regulated in the units of the house’s own schemes, with holdings reportable to the compliance officer within prescribed timelines.
Satisfy SEBI, AMFI, Trustees and Auditors with the Affinisio PIT Suite for Mutual Funds
For dealing in securities, SEBI’s employee-dealing Guidelines for AMCs and Trustees (first issued in 2001 and updated since) prescribe the market-conduct machinery (written pre-clearance, cooling-off periods, round-trip restrictions and periodic reporting) for access persons (fund managers, dealers, research analysts, fund operations and heads of divisions) across every security the house researches, deals in and manages. AMFI rule implementation moulded to your organisation structure with the seamless ease of customisation from our product experts.
The Affinisio PIT Suite operationalises both sets of obligations in one system: Affinisio(ETT) runs the dealing controls and CAS-based verification, Affinisio(SDD) maintains the structured digital databases for the UPSI the house and its schemes generate, and Affinisio(IDD) keeps the access-person and designated-person registers current with self-service disclosures.
Features and Integrations in the Affinisio PIT Suite 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(SDD) structures the house’s UPSI records with immutable, time-stamped audit trails, ready for SEBI inspection.
Affinisio(IDD) maintains access-person and designated-person registers with self-service onboarding and lifecycle tracking.
Consolidated reporting for trustees and SEBI across employee dealing, UPSI records and registers, drawn from the full suite.
For mutual funds and asset management companies, the Affinisio PIT Suite is available as the PRO Series, covering employees, access persons and trustees (and also serving intermediaries that are themselves listed). See details ➤
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.
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Affinisio PIT Suite FAQs
What is the Affinisio PIT Suite?
The Affinisio PIT Suite is the complete SEBI Prohibition of Insider Trading (PIT) compliance platform by Affinisio Technologies LLP, bringing together three integrated modules — Affinisio(ETT) for employee trading and tracking, Affinisio(SDD) for the structured digital database of UPSI sharing, and Affinisio(IDD) for the insider designated database. Each is structured for logical compliance across sections of the SEBI (Prohibition of Insider Trading) Regulations, 2015 in India. Together they cover an organisation’s end-to-end PIT obligations — from maintaining the register of designated persons, to logging every instance of UPSI sharing, to controlling, clearing, monitoring, tracking and logging all employee trading. The modules can be adopted together as one connected suite or individually, and they share a common foundation of people, roles and users, so compliance stays consistent as an organisation grows into the full suite.
Do I have to buy all three modules, or can I adopt just one?
You can adopt the modules individually or in combination. Affinisio(SDD) and Affinisio(IDD) can each be procured on their own, and Affinisio(IDD) can be taken either standalone or alongside Affinisio(SDD). Affinisio(ETT) integrates Affinisio(IDD) by design, so an organisation that adopts ETT receives the designated-database capability as part of it and need not procure IDD separately. This lets an organisation start with the module that meets its most pressing obligation and expand later — and because the modules share the same underlying people, roles and user data, expanding from one module to the next is seamless, with no re-onboarding or duplicate data entry.
How do the three modules work together?
The modules operate on a shared foundation of designated persons, roles and users, so information entered once flows across the suite. Affinisio(IDD) maintains the register of designated persons and their details, which feed the other modules. Affinisio(SDD) captures UPSI-sharing events and can push trading prohibitions directly into Affinisio(ETT) based on specific projects and deal teams — so individuals brought into a deal are automatically restricted from trading in the relevant securities. Affinisio(ETT) then applies those restrictions as it pre-clears, monitors and reports on employee trading. Because the people, roles and user structures expand seamlessly as modules are added, an organisation gets a single, consistent view of its insider-trading compliance rather than three disconnected systems. All three share a Smart Control Panel for truly seamless integration across data layers.
Who uses the Affinisio PIT Suite, and how are users and roles managed across the modules?
The Affinisio PIT Suite serves the whole insider-trading compliance chain — compliance officers and their teams who administer the framework, designated persons who submit and affirm their own details, administrators who manage access and configuration, front line employees that tend to be the first point of exposure for UPSI, HR-level accesses, etc. Users, roles and permissions are defined once and shared across all three modules through a common Smart Control Panel, so a person added, moved or removed is reflected consistently in Affinisio(ETT), Affinisio(SDD) and Affinisio(IDD) without duplicate setup. Access is governed by granular, role-based controls on a strict need-to-know basis, and as an organisation expands from one module to the full suite, its existing people, roles and user structures carry over seamlessly — so scaling up adds capability without re-onboarding or fragmenting the compliance data.
Can the Affinisio PIT Suite be deployed on-premises?
Yes. The entire Affinisio PIT Suite is available for on-premises deployment, as well as privately controlled cloud under the organisation’s own administration, so all of the sensitive data it holds — designated-person details, UPSI-sharing logs and employee trading records — stays on infrastructure the organisation controls, and Affinisio never has access to it. The suite also integrates fully on-premise with NSDL and CDSL depository balances of employees, and with Electronic Order Management Systems, Bloomberg trades, and client and time-book software, so trade verification and reconciliation can be automated end-to-end without data leaving the organisation’s environment. Access is governed by granular, role-based controls with a complete audit trail across all three modules.
Which markets does the Affinisio PIT Suite serve?
The Affinisio PIT Suite 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. The Affinisio PIT Suite is deployable globally.
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