Features of Issuer Edition

Lists Various Types of Insiders and Their Associated Persons
  • Categorize insiders and have complete overview on various types of internal and external insiders, including:
    • Insiders with access to inside information on an ongoing basis (list of permanent insiders)
    • Insiders discharging managerial responsibilities who are subject to Managers’ Transactions notification duty under article 6 of Directive 2004/72/EC  
    • Insiders with occasional access to inside information
    • Natural persons and companies with insider status
  • Maintain register of persons and companies closely associated with the above insiders
Handling and Management of Price Sensitive Information
  • Identify and keep records on every material price sensitive project, development or incident concerning your organization
  • Capture all the above on a consolidated, group-wide basis by exploiting the possibility of role-based decentralization of user rights to compliance professionals in various group entities
  • Control the flow of sensitive information via access records in order to have a complete and accurate overview about the who, when and why involved in particular price sensitive matters
  • Make sure persons involved in particular price sensitive matters are promptly alerted via e-mail each time the access record has been established
  • Deliver e-mail notification (warnings, status updates, release or termination messages) to insiders involved in particular price sensitive matters
Dealings by Management and Employees
  • Apply pre-clearance procedure for employee and management dealings in financial instruments issued by your company
  • Enable managers and employees to report their personal trades via a secure user-friendly web interface
  • Have full overview and records on employee and management dealings in the issuer’s financial instruments
Communication Tools
  • Automatic generation of pre-defined and customizable e-mail templates to:
    • make sure persons involved in particular price sensitive matters are promptly alerted via e-mail each time the access record has been established
    • deliver e-mail notification (warnings, status updates, release or termination messages) to insiders involved in particular price sensitive matters
    • make sure that the senior compliance officer is informed of entries made by other authorized users (be it the registration of a new price-sensitive case, adding of new insider)  
  • All e-mails generated and sent out by the system are fully traceable
Web-Based Self-Service Access
  • You will be able to provide each insider with controlled access to the system so that insiders will be able to:
    • update changes in their personal data
    • declare associated persons and update changes
    • check price sensitive matters where insider is or has been involved
    • verify the co-insiders on particular price-sensitive matters (optional)
    • submit pre-clearance applications prior to trading
    • declare personal transactions on one’s own behalf as well as on the behalf of associated persons
Availability of Compliance Records
  • All compliance records located in powerful central database
  • Each record covered by audit trail
  • All records available via a flexible report engine able to produce a comprehensive list of reports to cover all your internal and external needs
Technology and Security
  • Fully web-based application which can be run in-house within your own IT infrastructure or hosted on the server of a reliable service-provider (see INSIDeR On-Demand)
  • Most sensitive data fields are encrypted in the system database
  • Username- and password-protected access to ensure that data is available only to authorized users
  • Encryption of the traffic between the browser-based client interface and the application by Secure Socket Layer (SSL) technology
  • Full audit trail
  • Optional availability of additional security methods   
Market Abuse Quiz
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"It takes forever to learn the rules and once you've learned them they change again"

Murphy's Law
"We will use our resources to tackle cases of market abuse that pose a threat to confidence in the UK's financial markets"

Howard Davies, FSA UK