TradeLog is a web-based compliance solution developed and delivered by Euronext Securities Oslo, designed to help companies efficiently monitor and manage employees’ personal trading in financial instruments, register ownership, roles and relations, and check for potential Conflict of Interests against the company's employees and vendors and clients.
Operating in financial markets requires strict oversight of employee trading to safeguard market integrity and public trust. TradeLog enables firms to meet both regulatory obligations and internal compliance requirements through a fully digitized, automated, and auditable process.
The solution provides end‑to‑end support for employee trading compliance, covering pre‑clearance, transaction monitoring, Conflict of Interest checking, reporting, and case management in a single centralized platform.
The system automatically identifies reportable relationships and potential conflicts that previously went undetected, enabling proactive risk management without reliance on manual controls. Customer experience confirms a strong cost–benefit profile and measurable efficiency gains.
The system is intuitive and easy to use. Employees report shareholdings, board memberships, external roles, and personal trading activity directly in a dedicated user portal.
A complete solution to manage Employee Trading and Conflict of Interests
TradeLog streamlines the entire employee trade monitoring lifecycle, from pre‑clearance applications, automated surveillance, and case management to Conflict-of-Interest check in purchase processes and client processes.
By embedding regulatory rules, internal policies, and approval of workflows directly into the system, TradeLog significantly reduces manual effort, operational risk, and compliance exposure.
The solution supports monitoring of both employees and their related parties, ensuring transparency, traceability, and consistent enforcement of firm‑wide policies.
TradeLog is suitable for organizations operating in financial markets, private and public sector enterprises with procurement and sourcing activities, client‑based professional services firms such as law and accounting practices, as well as governmental and political institutions.
The platform is directly linked to employee accounts held at Euronext Securities Oslo and Copenhagen, enabling automated verification and monitoring of actual transactions against approved activity.
Enterprise‑Wide Control of Conflicts of Interest
TradeLog streamlines the management of independence and conflicts of interest across the enterprise. Employees report shareholdings, board memberships, external roles, and personal trading activity directly in the system through a standardized and user‑friendly process.
Potential conflicts and deviations are automatically flagged, with real‑time alerts sent to Compliance and administrative functions. This ensures consistent oversight, reduces operational risk, and strengthens governance.
Extended Visibility Through Related Parties
The platform provides consolidated visibility into employees’ related persons and entities, enabling organizations to:
- Map indirect dependencies and affiliations
- Identify conflicts arising through close relations
- Produce structured reports for Compliance, executive management, and boards
This extended view significantly strengthens the organization’s ability to detect and manage complex conflict‑of‑interest scenarios.
Procurement, Suppliers, and Client Relationships
TradeLog supports procurement and sourcing processes by enabling self‑declarations and automated assessments of potential conflicts between employees and suppliers, vendors, and clients. Eligibility assessments and documented follow‑ups ensure purchasing decisions are made in line with regulatory and internal governance requirements.
Insider Management and Market Abuse Compliance
TradeLog supports API integration with InsiderLog for efficient creation and maintenance of insider lists management and compliance with the Market Abuse Regulation (MAR), with automatic alerts if insiders execute prohibited trades. This reduces compliance risk while improving accuracy and operational efficiency.
Scalable, Secure, and Integrated Platform
TradeLog is delivered as a modern SaaS solution with:
- Simple employee onboarding
- Seamless integration with employee accounts at Euronext Securities Oslo and Copenhagen
- Flexible configuration aligned with organizational policies
- API‑based integrations with existing enterprise systems
All compliance‑related information—ownership, roles, approvals, policies, and workflows—is consolidated into a single platform, eliminating reliance on emails, spreadsheets, SharePoint solutions, and manual controls.
Privacy, Security, and Regulatory Resilience
The platform is designed according to privacy‑by‑design and data minimization principles in full alignment with GDPR requirements. A dedicated communication channel supports the organization’s obligations towards registered individuals.
TradeLog is ISO 27001 certified, with an Information Security Management System (ISMS) ensuring confidentiality, integrity, and availability across all processes.
Delivered by ES‑OSL, a regulated financial institution, TradeLog complies with the Digital Operational Resilience Act (DORA). This ensures robust governance of ICT risks, operational continuity, and resilience against cyber threats. ES‑OSL’s DORA compliance is supervised by the Norwegian Financial Supervisory Authority (Finanstilsynet).
Key features
- Fully digital pre‑clearance application process for ownership and roles
- Easy and flexible configuration to match the company's policy
- Automated surveillance of executed employee trades due to the company's policy
- Conflict of Interest checking - Procurement, Suppliers, and Clients
- Monitoring of employees and related parties
- Rule‑based configuration aligned with internal policies and regulations
- Automated alerts and violation notifications
- Integrated electronic case management system
- Audit trails for all approvals, investigations, and actions
- Standard and customized reporting (violations, authorizations, activity logs)
- Secure web-based access
- Seamless integration with employee accounts at Euronext Securities Oslo and Copenhagen
- High degree of Privacy, Security, and Regulatory Resilience
- Responsive design, suitable for both mobiles and PC users
- API to public databases of roles and ownership
- Global securities and organization databases embedded in the system
