TrackWizz Global Entity Taxonomy Tagging Solutions

Key facts

Trusted by the largest stock exchange of India

5+ segments

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

TrackWizz Employee Trade Tracking helps financial institutions to fully comply with insider trading regulation. It starts with disclosures by employees, grey list maintenance, resolution of conflict of interest, trade pre-clearance, violation tracking and necessary reporting.

Here goes the solution...

Functional overview/key components

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

UPSI repository

Allows maintaining single repository of unpublished price sensitive information

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

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

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Amit Arora Senior VP,

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.

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

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