Insider Trading Surveillance Solution

NYSE and SEC require companies to monitor the trading activities of employees to prohibit insider trading or speculative trading. Employees working in the global markets environment such as investment banks, corporate finance, research and other divisions will have non-public information about corporations. This information can be potentially lead to insider trading activities for personal benefit. To restrict insider trading or speculative trading by employees, corporations need to monitor the trading activities of employees.

Most organizations face lot of challenges in monitoring and managing insider trading activities. Lack of a robust and an automated system will often require human intervention for reviewing and flagging illegal trades manually. There is always a potential risk of fraud or human error in such circumstances. Further, absence of trading activity details provided by broker dealer directly to organizations could lead to employees not disclosing their trading accounts or trades which again could lead to violations of insider trading regulations or insider trading policy.

MetricStream provides a fully-automated trading surveillance that can monitor and track insider trading activities in real-time ensuring compliance with insider trading regulations or insider trading policy. The system has the ability to connect with multiple trading related transaction feeds from various broker-dealers. These feeds are continuously checked for violations against the list shared by the organization. The solution also provides automated trade approvals (pre clearance) before execution.

• Ensures compliance with federal regulations, SEC rules and internal policies
• Provides transparency to the entire process of trading surveillance
• Generates standardized reports for all regulatory requirements

The MetricStream solution also provides other intelligent and content driven features such as access to best practices and training from an expert community from within the solutions and integration of business processes with notifications and industry alerts.

Downloads

• Insight: Sound and effective Compliance Risk Management in Banks
• Solution Brief: Internal Audit Management Solution

Featured

Recorded Webinar: Rethinking Operational Risk
Expert Speaker: Christopher E. Mandel
MBA, CPCU, CCSA, ARM, AIC, RWW
September 28,2011

Select Customers in Banking

Analyst Research

Access a complimentary copy of Gartner Magic Quadrant for Enterprise Governance, Risk & Compliance Platforms, 2011 to get an up-to-date view of the GRC platform landscape.
July 2011 | Read Report

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November 2011 | Download Report