Maestro-Solutions for

Employees

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Employers are responsible for ensuring their employees comply with laws and regulations

Your Employee Code of Ethics (CoE) and Code of Conduct (CoC) define the standards for employees.

Regulators require businesses to both have recorded and comprehensive CoE/CoC and ensure they are implemented.

GRC-Maestro supports your employee CoE/CoC management in a Maestro Solution with:

  1. Maestro-Templates: for all employees or sub-groups, e.g. all new joiners in Finance, Managers in Hong Kong, etc.
  2. Schedules: periodically sending applicable Maestro-Forms to employees
  3. Incidents: evaluate responses with automatic and manual incident creation, reporting and resolution

GRC-Maestro evidences to regulators that your employee CoE/CoC is comprehensively managed.

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

  1. Internal Rules: ensure employees are aware of the firm’s rules regarding their personal trading activities
  2. Insider-Trading: remind employees of the relevant laws against insider-trading in their jurisdiction
  3. 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.

Resources

Regulatory Jurisdictions

Employee Personal Trading

There is nothing wrong with employees undertaking personal investing, but…

Employee Code of Conduct

Employees have to comply with regulatory requirements in addition to employment contracts….