Automating the compliance related to insider trading while ensuring confidentiality, ITCS is a web-based Compliance tool.

Overview

Ensuring the safety of business and tracking the trading done by employees creates a need for surveillance or a management tool. Addressing this challenge, ITCS (Insider Trading and Compliance System) is a compliance management tool that automates compliance processes with respect to Insider trading defined by SEBI (Securities Exchange Board of India).

It is a web-based solution that enables high level of automation and employee productivity and is suitable to organizations of any size. It has a flexible approval mechanism which supports Auto & Manual Trade requests and approvals sent by employees. It ensures complete and well documented compliance by providing a basket of pre-defined reports like MIS, Exceptions, Holdings, Trends and Declarations. It caters to Cash, Derivatives and Mutual funds also with support for employee's family members. ITCS has been developed using the latest .Net framework technology.

 

Features

Pre-packaged with efficient solutions, here’s a snippet of what our framework does:

High Configurability

  • Trade Policy: Maximum value settings like Amount, quantity, and number of trade requests and Minimum value settings like general minimum holding period, ESOP minimum holding period, etc.
  • Fine-grained access management like Profile Management and Integration with Windows AD.
  • Master-driven employee parameters based on department, branch, instrument, and designation.

Ease of use and higher productivity

  • Master-controlled Data Inputs reduces Data Entry Errors.
  • Workflows for Automatic Information Routing to Approving Authorities.
  • Over-ride Settings to Automate Approvals.
  • Dashboard View makes easy Entry Point to Transactions.

Rapid Deployment

  • Easy Installation
  • Integration with Windows AD.
  • Productivity/Automation
  • Automatic Data Population (Employee Data, Instrument Data, Restricted Trade List, and Transaction Data).

Integration with Third-Party system

  • Email Servers (for Messaging) and Windows AD (for User Authentication).

Cloud-ready Interface

  • Optimized for the Windows Azure Environment.
  • Public Cloud (for Better Availability).
  • Private Cloud (for Better Security).

Confidentiality is the key
Streamlined processes, Rapid implementation, and Centralized control.

Resources

TECH SPECS
Technology: MS .Net, Windows 8, Windows Azure, AJAX
Database: Microsoft SQL Server 2008, Windows Azure
Client interface: Browser, Mobile and Tablet
CASE STUDIES
Content

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