Personal Account Dealing & Digital Asset Trade Monitoring

Employee trading activity is one of the most scrutinised sources of potential conflicts of interest. Comply’s Personal Account Dealing solution gives compliance teams real-time visibility into accounts and activity – transforming oversight from reactive to proactive.

• Capture account-level activity with direct broker feeds, covering the accounts where employees actually trade
• Automate preclearance requests with workflows that apply firm rules and restricted lists
• Flag potential violations like insider trading, front-running, and excessive trades with powerful rule-based surveillance mapped to your policies
• Document every alert, approval, and investigation in one platform, building an audit trail for regulators

Crypto introduces new risks – but oversight shouldn’t be separate. Comply Digital Asset Trade Monitoring is the first end-to-end solution that lets compliance teams preclear, monitor, and audit employee cryptocurrency transactions within the same platform used for traditional securities.

• Capture trades and holdings automatically major exchanges and wallets
• Preclear crypto transactions with workflows aligned to your firm’s policies
• Document all crypto trade activity, creating an audit-ready trail

Certifications and attestations demonstrate that employees, contractors, and sub-advisers understand – and commit to – your firm’s policies. Regulators expect this acknowledgment, and Comply makes it scalable, automated, and defensible.

• Automate distribution and reminders, reducing repeat, manual tasks
• Configure questionnaires and workflows to match your firm’s unique requirements
• Analyse responses to surface outliers, notify supervisors of red flags, and generate audit-ready evidence