Personal trading compliance software for investment banks

Personal trading compliance

Easily monitor, manage, and mitigate risks from your employees’ outside business interests

Fortify your firm against the risk of regulatory penalties, fines, and reputational damage by boosting compliance with your code of ethics policies.

Intapp Employee Compliance streamlines the completion and collection of attestations for compliance teams — and makes it faster and easier for your employees to disclose and pre-clear outside business interests like personal investments and political donations.

Quickly configure ad-hoc reports and dashboards

Simplify personal trading compliance with Intapp Employee Compliance

Protect your firm

Simplify compliance with code of ethics policies and regulations with automated tools and workflows.

Demonstrate compliance

Review, update, complete, and audit required documentation and decisions.

Boost employee confidence

Make ensuring compliance easier for employees with timely approvals aligned to firm policies.

Intapp Employee Compliance

Automated disclosures 

Simplify disclosures of investments, outside business activities, and other material concerns .

Integrated brokerage account data 

Save time and reduce errors by connecting brokerage accounts through managed setup and maintenance.

Simplified attestation and document management 

Complete required attestation, firm documents, and disclosures in a single location.

Automated trade pre-clearance 

Streamline employee requests and approvals of investment activity using your firm’s restricted list.

Access for covered parties

Provide a hub for spouses or financial planners to initiate, track, and receive approval of trade requests.

Personalized reporting 

Streamline periodic or ad hoc reports and audits by filtering and configuring data as needed.

Intapp Employee Compliance integrations

Streamline personal trading compliance using direct integrations to thousands of brokerage feeds, as well as by extending personal holdings from Intapp Employee Compliance to Intapp Conflicts. 

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