Regardless of your regulatory regime, your firm should have an Employee Personal Account Trading policy to cover:

    • Internal Rules: ensure employees are aware of the firm’s rules regarding their personal trading activities
    • Insider-Trading: remind employees of the relevant laws against insider-trading in their jurisdiction
    • Front-Running: check that employees with access to proprietary trading or client trading information are not front-running

GRC-Maestro supports your Employee Personal Account Trading management with disclosures, checks and reporting which is relevant to your business.

GRC-Maestro evidences to regulators and your Senior Management that your Employee Personal Account Trading has appropriate controls.

For more information on the GRC-Maestro Platform click here.

For more information on the GRC-Maestro Platform click here.

Reporting on: Employee Personal Account Trading

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Trading Activity

Show the number of Personal Trades per employee by: time-period, trade side, stock, etc.

  • No Issue
  • Incident: No Breach
  • Incident: Breach

Incidents and Overrides

Report on Employee Personal Account Trades which result in rule breaches or rule overrides.