Manage Personal Account Dealing
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Customise and configure your own internal PA Dealing process.
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Manage the workflow using your preferred authorisation and approval levels.
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Hold employee portfolios records and ensure employees maintain them.
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Configure and optimise workflow for managing PA Dealing requests.
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Record trade confirmation information.
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Customise deal request forms to capture the information required by your firm.
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Record employee holdings for regular review.
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Build a Restricted List and automatically cross-reference it to all PA Dealing requests.
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Segregate information and reporting between the compliance team and the wider firm appropriately.
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Set reporting SLAs to ensure PA Deals are processed in line with your policies and procedures.
