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.
Affinisio Leads Again – Finance Outlook
Centralised, integrated enterprise-grade Compliance Software Platform that seamlessly automates compliance today and tomorrow.
GRC Excellence at the Chartis RiskTech100
Global Recognition for GRC Excellence, powered by Affinisio as the Acies group is recognised at the Chartis RiskTech100.
Compliance Software – CIOTech Outlook Awards Affinisio
Revolutionise compliance and governance with cutting-edge applications to automate regulatory compliance control, review, monitoring.
UPSI – The List Expands
The definition of UPSI has grown to include items that may otherwise have been considered operational in nature.
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.
Unpublished Price Sensitive Information: A Comprehensive Guide to UPSI
UPSI - if that word seems to take up a huge part of your day, there is a reason. It takes up even more of your compliance officer’s day and yet more of the regulators. Here is the comprehensive low-down.
What information is UPSI.
Knowing what is Unpublished Price Sensitive Information (UPSI) is the first step to managing surrounding compliances, from employee trading to the structured digital database.
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.
UPSI – It May Not Be What You Think
Trading based on UPSI is Insider Trading at its most basic sense. We know Insider Trading is illegal, but what exactly is UPSI to start with? If it is not important for your job, you may know less than you need.
