Trade Monitoring

Employee trading activity is one of the most scrutinized sources of potential conflicts of interest. Comply’s Employee Trade Monitoring 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 Code of Ethics
• Document every alert, approval, and investigation in one platform, building an audit trail for regulators

Supervised employees shouldn’t have to leave their workflow to stay compliant. The ComplyAI MCP Server brings trade preclearance directly into the tools your team already uses – Microsoft Teams, Slack, Claude, ChatGPT, and any MCP-connected interface — no separate login required.

• Submit trade preclearance requests directly in Teams, Slack, or any AI assistant
• ComplyAI MCP Server identifies the employee, collects required fields conversationally, confirms the request, submits it to the Comply Platform, and returns the outcome – all within a single chat
• Firm-configured rules and restricted lists applied automatically – no process changes required
• Every submission fully logged in the Comply Platform with a complete audit trail
• CCO controls which employees have access and can enable or disable at any time

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 Code of Ethics and policies
• Document all crypto trade activity, creating an audit-ready trail