BasisCode Compliance™ Insider Trading Manager

Confident in your approach to protecting MNPI?

BasisCode Compliance™ Insider Trading Manager  is a powerful compliance management software that enables firms to confidently detect the potential misuse of material non-public information by identifying transactions that have breached corporate policy. Our comprehensive insider trading compliance and trade monitoring software significantly improves labor-intensive and error-prone manual processes. 

How can compliance software optimize the insider trading compliance process while reducing false positives?

Unlike systems that are solely news- or event-driven, BasisCode Compliance™ offers a comprehensive set of risk management tools that provides a framework which monitors all ongoing trading activity against a proprietary, sophisticated, detection engine. 

Our trade monitoring software and effective core regulatory compliance functions are trusted by over 400 global companies. The key audit-ready features and comprehensive technology integrates with other systems to provide a variety of benefits, including:

  • Saves time
  • Reduces risk and
  • Provides for more meaningful analysis

Key Features of an Integrated Audit-Ready System

Configurable Detection Engine

  • Highly advanced, skillfully designed to increase detection accuracy whilst reducing false positives

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Configurable Detection Engine

Integrated News Sources

Automated Trading Data

Continuous Surveillance

Investigation Management

  • Configure settings applied against a wide range of filtering thresholds including transaction size and rolling time periods
  • Access patent pending features such as the Market Movement Mechanism and Volume Move Mechanism

Integrated News Sources

  • Integrated news feeds cross-reference securities
  • Access, review and archive related news items to serve as supporting documentation/evidence within investigations

Automated Trading Data

  • Easily analyze both firm and employee trading activities against detection engine settings with automated data feeds

Continuous Surveillance

  • Integrated watch-dog approach analyzes data in a set-it and forget-it framework
  • Patent pending detection engine continuously processes data to more accurately identify exceptions thereby reducing false positives

Investigation Management

  • Fully-integrated investigative framework offers an end-to-end analysis workflow
  • Step-by-step investigation process is captured and memorialized by date and timestamps as part of a fully verifiable audit trail.

 

Skillfully designed to increase detection accuracy while reducing false positives