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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