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Tradelog

A new online solution that helps compliance departments monitor employee trading

Euronext is introducing a new service that helps customers to comply with internal and external regulations regarding employee trading

When companies operate in the financial market they are required by law to report on employee trading to ensure public confidence in the financial markets. TradeLog is a web-based compliance tool and a fully functional case management system to handle employees’ applications, approvals and enquiries relating to their personal trading activity. It can be tailored to the company’s specific environment and incorporates all of the regulations, internal policies and procedures which govern employee trading activity.

The online solution includes a fully digital registration process for pre-approval of trades, and automated monitoring and notification of trade violations. The solution is linked to the employee’s account in Euronext Securities Oslo.

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Track your employees' and their related parties trading activity

Key features

TradeLog can be accessed via the compliance portal or the employee portal, depending on the user’s role.

For compliance officers

  • Digitised application process for pre-clearance of trades
  • Rule based configuration to automate trade reviews based on firm’s policies
  • Electronic case management system for compliance
  • Approval or denial of applications based on pre-set parameters
  • Automated surveillance and notifications of violations
  • Standard and customised reports (e.g. violation log, authorizations, etc

For employees

  • Digitised application process for pre-clearance of trades
  • Administration (add / apply, modify, remove) of consent, holdings, and related parties
  • Integration and feedback communication from compliance screens / actions
  • Information on prohibited trades, etc.
  • Automated surveillance and notifications of violations to employees and related parties

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      Dashboard features

      User-friendly dashboard provides total oversight of employees’ trading and holdings. Reducing risk of fines and time spent investigating violations.

      • Applications pending
        Process applications easily via the “Applications Pendig” tab and request additional input from the employee and/or other parties in the company
      • Unresolved violations
        Receive notification of violations are sent to the compliance officer and to the employee. Tradelog can manage all necessary documentation related the case
      • Missing contents
        Keep track of missing consents from employees and/or their related parties via the ‘Missing consents’ tab
      • Pending messages
        Communicate easily with employees ensuring transparency and acting as an information channel from the firm’s compliance department

      Contacts

      Carl-Johan Wiklund - Euronext Securities Oslo

      Carl-Johan Wiklund

      cwiklund@euronext.com