Insider Trading Management
Comply with the new amendments effective from April 2019, To SEBI’s Prohibition of Insider Trading Regulation
Using NetcreativeMind – Insider Trading Compliance Management Solution

NetcreativeMind – Insider Trading Process Flow

Optimized as per SEBI compliances, mandated from
April 1, 2019.
- UPSI Database structured to add employees, corporates & Non-Employee UPSI holders
- Provision to add/upload, Non-Disclosure Agreements from UPSI holder persons, to ensure compliance of PIT Amendment Regulations
- Initial & Periodic Disclosures workflow with alerts and notices to all Insiders and UPSI holders.
Insider Trading – Solution Features
Centralized Database for Employee decelerations – Holdings, Relations, Education & Past Work Experience
Pre-Clearance Approvals with systematic workflows for all Trade Requests
Upload Broker Note and Trade Details, against Pre-Cleared Trade Requests, Provision to submit Non-Approved Trade details
Restricted Securities Listing with Contra Trade & Black Out Trading period notices
Reporting as per NSDL/CDSL format, Integrated SEBI regulations with Form A,B,C & D
Auto Schedule for Periodic & Continual Declarations with email alerts, reminders and notice
Email Based Approvals by Compliance Officer with complete employee Trade details & past requests, provided on email
Configurable Email Templates, Broadcast email messages to all system users for notice and declaration alerts
Escalation Matrix for Non-Compliance events, with Auto Alerts, Reminders and Notices
Complete Audit Trail & Security Log, with secure access to external insiders
Trade Request Validations through CDSL/NSDL Uploads
Admin access to Upload CDSL/NSDL BENPOS file
System compares to validate pre-trade approvals and unreported trade instances by an insider
Admin shares pre-defined / Configurable notices for non-compliant insiders to upload trade details
Auto Escalation to Senior Management in case of delays on reporting of Non-Compliance Trade Details
Complete MIS of Non-Compliance events with ATR
Integration with NetcreativeMind – Investor Relations Module for shareholding analysis & BENPOS comparisons to maximize your effective market value and strengthen your IR function

Trade Request Validations through CDSL/NSDL Uploads
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