Personal Account Dealing (PAD)

Manage Personal Account Dealing

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Manage Personal Account Dealing  

  • Customise and configure your own internal PA Dealing process. 

  • Manage the workflow using your preferred authorisation and approval levels. 

  • Hold employee portfolios records and ensure employees maintain them.  

  • Configure and optimise workflow for managing PA Dealing requests. 

  • Record trade confirmation information.

  • Customise deal request forms to capture the information required by your firm. 

  • Record employee holdings for regular review.

  • Build a Restricted List and automatically cross-reference it to all PA Dealing requests.

  • Segregate information and reporting between the compliance team and the wider firm appropriately.

  • Set reporting SLAs to ensure PA Deals are processed in line with your policies and procedures.