Trade Monitor
Our Trade Monitoring System is the simplest Personal Trade Monitoring solution in the industry
Trade Monitor
Say goodbye to paper investment statements and the headaches of ordering, collecting, reviewing, and archiving your employees’ statements.
Our Trade Monitoring System is an automated, simple, cost-effective solution to your paper problem, designed to enhance trade monitoring ahead of SEC examinations and support compliance-driven workflows.
Simplify the submission and approval process for personal securities holdings and transactions. We’ve developed the simplest Personal Trade Monitoring and RIA Trading Platform solution where you can start reviewing employee trades today. It’s the ideal way to stay updated on trade compliance trends.
With our trade monitoring system, you can:
- Eliminate the need to request duplicate outside brokerage statements
- Eliminate the collection, sorting, and review of paper statements
- Review personal trades in one online portal
- Provide a pre-trade approval solution
- Add or upload your restricted trading lists
- Be alerted when conflicts arise
- Enable Pre-trade approval, IPO tracking, and purchases.
Our system is also built to ensure trade compliance with FinCEN’s new requirements and helps your firm align trade practices with fiduciary responsibilities, supporting a robust and future-ready compliance posture.