Features of Professional Edition

Administration of Relevant Persons and Closely Related Parties
  • Establish a personal compliance account for every person who is to be treated as a Relevant Person within the meaning of MiFID
  • Have complete overview on various types of internal and external Relevant Persons
  • Maintain the register of companies and persons with close links to Relevant Persons within the meaning of MiFID
Personal Transactions
  • Apply pre-trade clearance procedure for Personal Transactions within the meaning of article 12 of Directive 2006/73/EC
  • Check whether entering into certain Personal Transactions should be refused because of access to inside information regarding a particular instrument or issuer
  • Maintain records on authorizations and prohibitions in connection with Personal Transactions
  • Be informed and maintain records on all Personal Transactions entered by Relevant Persons or persons closely linked to them
Control the Risk of Market Abuse and Conflicts of Interest
  • Apply the best industry standards and compliance procedures regarding the handling of price sensitive information as well as information which may give rise to a conflict of interest
  • Have a comprehensive overview as to which price sensitive information the Relevant Person has or has had access to
  • Have a comprehensive overview as to which particular conflict-of-interest sensitive information the Relevant Person has or has had access to
  • Maintain project-specific insider lists in situations where your firm is involved in price sensitive matters (preparation of M&A transactions and other Corporate Finance matters) regarding publicly traded companies
  • Maintain a project-specific list of Relevant Persons involved in processing of large orders
Communication Tools
  • Automatic generation of pre-defined and customizable e-mail templates as part of various internal compliance risk management procedures
  • 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 Relevant Persons with controlled access to their personal compliance account so that Relevant Persons will be able to:
    • update changes in their personal data
    • declare closely linked persons and update changes
    • check price sensitive as well as conflict-of-interest sensitive matters where the Relevant Person 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 closely linked persons
Availability of Compliance Records
  • All compliance records centralized in powerful database
  • Each record covered by audit trail
  • All records available via a powerful report generation 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 you can run in-house within your own IT infrastructure or host 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. If requested LDAP or Active Directory integration is available
  • 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
How well is your company protected against risks of market abuse?

Would you be in the next scandal on tomorrow's front page?

Take a short quiz to find out in 4 minutes, start now!
"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