Personal Trading
Management
Monitor, Detect, Prevent Conflicts of Interest
ComplySys Personal Trading Management provides automated oversight of employees’ personal trading activities, helping firms manage conflicts of interest and meet regulatory expectations
Pre‑Clearance Workflow
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Employees submit trade requests; compliance reviews and approves with automated rules
Broker Account & Holding
Declarations
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Capture staff brokerage accounts, holdings, and changes over time
Automated Trade
Monitoring
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Identify potential breaches, restricted securities, blackout periods, and unusual activity
Conflict‑of‑Interest
Controls
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Built‑in rules to detect trading patterns that may pose regulatory or reputational risks
Exception & Breach
Management
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Log, investigate, and resolve exceptions with full documentation
Comprehensive Reporting
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Generate trade summaries, breach logs, and oversight reports for internal and regulatory use
Key Benefits
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Strengthen oversight of staff trading activities
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Reduce compliance risk and potential misconduct
Key Benefits
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Automate manual checks and approvals
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Maintain transparent, defensible audit trails