Prohibition of Insider Trading

Key facts

Trusted by Largest Stock Exchange of India

Trusted by Largest Stock Exchange of India

Proven Track record

Proven Track record

9+ years of a mature platform for Prohibition of Insider Trading regulation.
Full Compliance

Full Compliance

with SEBI Prohibition of Insider Trading regulation
5+ segments

5+ segments

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

TrackWizz Insider Trading solution is a fully automated solution specially designed for:

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

The solution covers Schedule B and Schedule C of the Prohibition of Insider Trading Regulation, which are the primary components, with the help of Employee Trade Tracking and Structured Digital Database.

The components are available as different modules that help to meet the compliance of Prohibition of Insider Trading (PIT) Regulation, 2019.

Here goes the solution...
You may select both the modules to get fully compliant...

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

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Allows maintaining single repository of unpublished price sensitive information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 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

Explore complete TrackWizz Anti Money Laundering solution or explore individual modules

Screening
Transaction Monitoring
Risk Rating
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