Why Employee Trade Pre-Clearance Needs Context
Most pre-clearance workflows can show that a trade was approved. Fewer can show whether it should have been. The difference is what the reviewer could see at the moment of decision.
How to Evaluate Insider Trading Compliance Software
Evaluation of insider trading prevention compliance software needs to be connected control at an enterprise level. Review the evaluation criteria.
Insider Trading Prevention: Policies Not Enough
Bring together information, people, trading controls, monitoring system integrations and intelligence into a single platform for complete and automated insider trading prevention and SEBI compliance.
On-Premises vs SaaS – The Primer
Understanding the Pros and Cons of On-Premises vs SaaS deployments. Affinisio's On-Premises Deployments give you the best of both worlds. Or opt for pure SaaS.
SEBI PIT Employee Trading Compliance Software
What internally deployed pre-clearance software should manage under the SEBI PIT Regulations, from request checks and trading windows to holdings, approvals, exceptions and reports.
Trading Plans – Reviewing SEBI’s Regulatory Shift
SEBI's proposed trading plan reforms aim to boost transparency and flexibility, yet compliance verification hurdles remain.
Employee Trade Pre-Clearance – Importance
The importance of employee pre-trade clearance for compliance with SEBI PIT Regulations and the role of insider trading compliance software.
Insider Trading vs. Trading Plans vs. Insiders
Filing trading plans provide a legal exemption from Insider Trading compliance obligations. Learn about trading plans.
Insider Trading Risks In The Digital Age
Understand how regulators are navigating insider trading risks in the digital age armed with statutory powers of surveillance.
Employee Trading Approvals – Why It’s Non-Negotiable
Employee trading approvals can be challenging, but understanding the risks is key. Read why following these rules (compliance) is crucial and the risks involved when you don't (non-compliance).
Employee Personal Account Trading Systems – Integration vs Irritation
Employee personal account trading systems for insider trading management of compliances only work when properly integrated with organizational systems. Otherwise, user irritation leads to poor compliance.
Limitations on Trading Activities by Research Analysts.
Trading Activities by Research Analysts – A look at the regulatory limitations and why they are there to start with.
Insider Trading vs. Front Running: Same Difference?
Insider Trading vs. Front Running: What is the difference, what are the ethical and legal implications of each.
Employee Trade Pre Clearance – Challenges for Connected Persons
Compliance challenges with pre clearance for Connected Persons in Insider Trading Regulations and Insider trading compliance solutions.
Navigating the Complexities of Designated Person Compliance: Meeting SEBI Requirements with Confidence
Learn how to navigate the complexities of designated person compliance as per SEBI requirements with confidence
Employee Trade Preclearance – Internal Challenges for Compliance
Pre-clearance procedures are essential to protect your organization from the ill-effects of insider trading but optimizing pre-clearance processes is a huge challenge without the right tool set.
