Compliance towards tracking and monitoring employee personal securities trading has been every Mutual Fund firm’s most critical component. SEBI imposes certain restrictions and reporting obligations on employees of mutual funds with respect to personal transactions in securities.

Tracking and monitoring of employee securities trading have been a manual process using papers or spreadsheets till date. This manual process leads to difficulty in producing required reports and in monitoring the regular employee trading activities, resulting in extremely high time and resource consumption to complete such tasks.

Most firms were finding the process much complicated and thought automating such process can drastically bring the resource and time consumption graph down.

Investrail, as an employee trade monitoring tool, can capture, analyze and report all the trading activities of your employees. It conveniently helps the MF/AMC companies to comply with the SEBI regulations by closely tracking the employee’s investments, validating them against a set of pre-defined investment rules & highlighting the breaches if any.

Automation of employee personal trading system saves time and money and also ensures that you are compliant with the industry regulations and internal rules and policies.

Features

A workflow to pre-approve employee transactions based on defined parameters
A reporting tool to allow employees to report their transactions within the designated time window after executing the transaction
Reporting of initial holding and annual holding
A monitoring tool to detect breaches and take follow-up action
An MIS tool to help generate necessary MIS for decision support and reporting to boards
A repository to maintain certification data of employees
Helps the compliance team to ensure conformity to the SEBI Guidelines applicable for investments by AMC employees and also Insider trading
Auto approval/rejection of trade requests based on the pre-defined rules