Insider Trading Management

Insider Trading Compliance Solution

Comply with the new amendments, effective from April 2019, To SEBI’s Prohibition of Insider Trading Regulation, with UPSI declarations & Non-Compliance Tracking

ProCS Insider Trading Platform Compliant with SEBI Amended Regulations applicable from 1st April 2019.

proCS Insider trading Management System gives you an Automated solution to Centrally manage and track compliance pertaining to Prohibition of Insider Trading. It helps the Compliance Officer to manage, track and comply on all compliances pertaining to SEBI Insider Trading Compliance. The Compliance Officer can easily set up its trading policy, announce opening and closing of trading windows, provide pre clearance approvals based on prescribed limits over emails or from the system, capture trade details and also initial and periodic holdings of insiders. This helps the Compliance Officer to generate all reports and relevant forms in single click.

Currently, the best Insider Trading Compliance system which not only provides you standard features like UPSI Deceleration, Pre-Clearance approvals and UPSI groups, the system is designed to be integrated with your BENPOS file to find Non-Compliance trades and has an inbuilt Investor Shareholding Analysis platform for Investor Relations teams.

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ProCS Solution – Insider Trading Process Flow

Optimized as per SEBI compliances, mandated from
April, 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
  • Upload CDSL/NSD to compares to validate pre-trade approvals and unreported trade instances by an insider
  • 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
  • Auto Escalation to Senior Management in case of delays on reporting of Non-Compliance Trade Details
  • Validations for pre-trade approvals and unreported trade instances by an insider
  • Complete MIS of Non-Compliance events with ATR Integration with ProCS Solution – Investor Relations Module for shareholding analysis & BENPOS comparisons to maximize your effective market value and strengthen your IR function

Find out more about how ProCS Solution – Insider Trading Solution can help your organization achieve the SEBI Compliances.
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