Insider Trading compliance software

Key facts

Best code of conduct tool/ insider trading software in India

Trusted by the largest stock exchange of India

Code of ethics tool for listed companies and SEBI regulated entities

5+ segments

We serve listed companies, exchanges, banks, insurers, wealth managers...

TrackWizz Employee Trade Tracking is a fully automated solution specially designed for:

  • Listed Companies
  • Banks
  • Exchanges
  • Asset and Wealth Management firm
  • Insurance Company
  • Brokerage Houses

TrackWizz Employee Trade Tracking is a fully automated comprehensive solution to help Financial institutions follow SEBI Prohibition of Insider Trading regulations in full spirit by taking employee’s disclosures, automated trade approvals, maintenance of restricted list, violation tracking with help of exhaustive MIS reports. Additionally, the solution is capable of handling resignations, external verification and seamless integrations reducing time to market. The UPSI repository in the solution helps maintain a structured digital database for tracking and monitoring the UPSI flow.

Here goes the solution...

TrackWizz's pre-clearance engine encompasses employee pre-clearance, auto approvals, greylist management, employees' initial and periodic disclosures etc.

Functional overview/key components

Functional overview of employee's initial declaration, trade approvals, annual disclosures, violation monitoring and reporting.

Features and benefits

Auto-approvals

Fully automated trade approvals of employees, saves valuable time and eliminates opportunity loss

Your policy

Allows different policy enforcement for different departments, not burdening all with one approach

No fill only verify

Periodic submissions are pre- filled by system, employees to verify and submit, resulting in high adoption

Exception manager

Allows automated raising of exceptions, warning/action emails and recording response

BenPos Reconciliation

Highlighting mismatch of employee’s holding against BenPos Data

Add RAC

Integrates with Research Analyst Compliance module leveraging existing infrastructure

Features and benefits

FEATURES

Integration capability

Multi-source greylist

Resignation handled

New joinee seamless approach

Reconciliation manager

Email Approval

BENEFITS

Ready-to-use automated and bulk upload integrations. Reduces time to market

Special multiple greylist handling for restrictions, investment banking transactions, fund investments etc.

Provision to make relieving submissions. Eases burden of compliance team

Welcome mailers, auto reminders, training videos/manuals etc. to new joinees for initial disclosures/declarations

Extensive coverage of holding, annual submissions, corporate actions bringing accuracy with confidence

Allows compliance teams to do trade approvals on email resulting in less turn around time

Request a demo
Download brochure
Amit AroraHead - Operations,

Over the last 7 years, our relationship with TrackWizz has been growing. It began with Anti Money Laundering and we use now more than 7 modules in areas of insider trading and KYC. Their approach of continuously improving the solution in this ever-changing landscape of financial services is their biggest strength. The integration of modules in a single software has also helped to achieve savings of cost and resources.
TrackWizz is a genuine partner for our compliance and operations requirements.

Vilma Mathias GangaharDirector - Legal, Compliance & Risk at Spark Capital

"We have been using TrackWizz Employee Trade Tracking Solution for our Insider Trading compliances and we recently recommended a huge list of upgrades to make the system even more user-friendly. We appreciate the commitment and attitude of the team at TrackWizz who left no stone unturned in enhancing their product as per our requirements. We are very happy with the support received from the Customer Success team of TrackWizz."

Our other solutions

If you are offering research services to your customers, you may want to check our TrackWizz Research Analyst Compliance

You may also choose TrackWizz Transaction Monitoring for tracking insider information misuse by customers

Trusted by...