Employee Trade Monitoring Solution

Automatically record, monitor, and consolidate employee personal securities transactions in one
integrated solution.

Developed to simplify the trade monitoring process for growing RIAs

RIA in a Box developed a cloud-based solution to simplify the submission and approval process for personal securities holdings and transactions. With the ability to establish an electronic data feed to over 15,000 financial institutions, the employee trade monitoring feature digitizes and automates the submission and tracking process for RIA firms of all sizes. The Chief Compliance Officer or designated person(s) gains access to detailed reporting tools and the ability to manage a restricted securities list.

One platform to enhance your firm's compliance program

Employee Trade Monitoring Transitions

Go digital to streamline the transactions, holdings, and accounts attestations process. 

 

Employee Trade Monitoring Violations

Proactively identify and resolve potential trading and firm-level policy violations by automatically flagging potential employee front running securities transactions.

 

Employee Trade Monitoring Automate

Automate the personal trading pre-clearance process with customizable trade limits
and restricted lists.

 

Employee Trade Monitoring Integration

Minimize regulatory risks with seamless integration capabilities
of MyRIACompliance, which automatically log all trade monitoring activities of employees.


 

 

Say Goodbye to Reviewing Paper Brokerage Statements!

Employee Trade Monitoring Software

  • Automatically record and monitor employee personal securities transactions
  • Eliminate the need to review and archive paper brokerage statements
  • Saves time, effort, and tailors trade monitoring to each individual firm
  • Consolidate employees' personal securities transactions into a single compliance reporting system
  • MyRIACompliance users can seamlessly integrate employee trade monitoring activities into their compliance calendar and compliance log
  • Supervisors can track employee progress with attestations and remind those who have not submitted their reports all within MyRIACompliance

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• Reduce errors related to manual entry by automating the electronic capture of employee’s personal trades

• Easily filter and export employee trade data to excel, .csv, and PDF formats

• Robust supervision and administration capabilities 

• Single online reporting system 

• Automatic matching for employee trade requests and executed employee securities transactions

• Automatically identifying ‘front-running’ violations

• Post-trade reconciliation

• Private and public securities holdings reporting

• Customizable restricted securities lists

• Automated electronic access to over 15,000 financial institutions

• Simple to set-up and easy to use

The tracking of employee transactions and holdings is a key regulator focus area that if done manually is a time-consuming and high-risk task. The SEC’s Rule 204a-1 or the “Code of Ethics”, requires all persons of a registered investment advisor firm to submit securities holdings and transaction reports to the firm's Chief Compliance Officer or other designated person(s). Firms need to carefully manage their employees' transactions and holdings to mitigate risk and remain compliant. 

 

Does the system create access person holdings and transactions reports?

Yes, the tool is designed to help a firm meet its Rule 204A-1 ("Code of Ethics Rule") requirements as it relates personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm's Chief Compliance Officer ("CCO") or other designated person(s). The system automatically creates holdings and transactions reports which are then reviewed and attested to by the firm's access persons prior to submission.

The Employee Trade Monitoring solution was created for both state and SEC registered RIA firms.

MyRIACompliance users will benefit from the integration capabilities, which enable CCO’s to oversee their employees progress as they submit and attest to their reports. CCO’s can also remind their employees to complete attestations through MyRIACompliance. 

With an intuitive and user-friendly interface, this solution is designed for both the tech-savvy and those used to paper driven processes.

• Proactively identify and resolve potential trading violations by automatically flagging potential employee front running securities transactions

• Automate the personal trading pre-clearance process with customizable trade limits and restricted lists 

• Minimize regulatory risk with the seamless MyRIACompliance integration capabilities that automatically logs all employee trade monitoring activities 

• Eliminate time-consuming and tedious tasks such as requesting documents, paper attestations, and archiving paper brokerage statements

• Simple interface, user-friendly 

• Innovative technology backed by compliance expertise

 

Does the system allow the Chief Compliance Officer to manage a restricted securities list?

Yes, the restricted securities list is fully customizable for firms that implement a trade pre-clearance program. When implemented, each access person submits a trade request which is then automatically approved or held for approval based on the firm's settings. In addition, any security purchased or sold by an access person that is listed on the firm's restricted security list is flagged by the system for further review. All historical restricted securities are archived.

Employee Trade Monitoring Rule 204a-1
Employee Personal Trade Compliance

The clear trade function makes it easier
for CCO’s to identify potential trade violations
and streamlines the documentation of
how any issues were resolved.

Employee Trading for RIAs

Say goodbye to manually updating your restricted holdings list with our simple CSV file upload feature, which accelerates the process from hours to minutes. The upload feature also allows firms to mass upload their client transactions to match against employee transactions. 

Brokerage Account Statement Requirements

Save time by setting customized
pre-clearance rules for employee’s
personal trading requests.

Reviewing Reports for SEC Compliance

The autoflag feature saves the supervisor
time by automatically comparing employee transactions and client transactions to find
potential front-running violations.

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RIAB Employee Trade Monitoring Solution - Employee Transactions