Leverage Simple Trade Monitor and say goodbye to paper investment statements and the headaches that come with ordering, collecting, reviewing, and archiving your employee’s statements. We developed the simplest Personal Trade Monitoring solution in the industry; start reviewing your employee trades today by simply sending an email to your employees to get them started.

Background:

Your Code of Ethics requires an adviser's "access persons" periodically report personal securities transactions and holdings to their chief compliance officer or other designated persons.

Historically, this need is completed by ordering duplicate statements from outside companies or asking employees to provide quarterly statements. The statements are then manually sorted, reviewed, and documented by a Compliance Officer. As your firm grows beyond a handful of employees, this manual process becomes time-consuming and labor-intensive.

Solution:

Our Simple Trade Monitoring solution is an automated, simple and cost effective solution to your paper problem.

Restricted Trading - Allows your employees to see your restricted trading list and automatically notifies the compliance team and employee when a restricted trade is made.

Simple flat fee pricing makes it easy to budget and gain approval from your management team.

Coming May 2021:

Employee Pre-Trade Approval

IPO Tracking and automatic detection of IPO purchases