Features of Issuer Edition
Lists Various Types of Insiders and Their Associated Persons
- Categorize insiders and have complete overview on various types of internal and external insiders, including:
- Insiders with access to inside information on an ongoing basis (list of permanent insiders)
- Insiders discharging managerial responsibilities who are subject to Managers’ Transactions notification duty under article 6 of Directive 2004/72/EC
- Insiders with occasional access to inside information
- Natural persons and companies with insider status
- Maintain register of persons and companies closely associated with the above insiders
- Identify and keep records on every material price sensitive project, development or incident concerning your organization
- Capture all the above on a consolidated, group-wide basis by exploiting the possibility of role-based decentralization of user rights to compliance professionals in various group entities
- Control the flow of sensitive information via access records in order to have a complete and accurate overview about the who, when and why involved in particular price sensitive matters
- Make sure persons involved in particular price sensitive matters are promptly alerted via e-mail each time the access record has been established
- Deliver e-mail notification (warnings, status updates, release or termination messages) to insiders involved in particular price sensitive matters
- Apply pre-clearance procedure for employee and management dealings in financial instruments issued by your company
- Enable managers and employees to report their personal trades via a secure user-friendly web interface
- Have full overview and records on employee and management dealings in the issuer’s financial instruments
- Automatic generation of pre-defined and customizable e-mail templates to:
- make sure persons involved in particular price sensitive matters are promptly alerted via e-mail each time the access record has been established
- deliver e-mail notification (warnings, status updates, release or termination messages) to insiders involved in particular price sensitive matters
- make sure that the senior compliance officer is informed of entries made by other authorized users (be it the registration of a new price-sensitive case, adding of new insider)
- All e-mails generated and sent out by the system are fully traceable
- You will be able to provide each insider with controlled access to the system so that insiders will be able to:
- update changes in their personal data
- declare associated persons and update changes
- check price sensitive matters where insider is or has been involved
- verify the co-insiders on particular price-sensitive matters (optional)
- submit pre-clearance applications prior to trading
- declare personal transactions on one’s own behalf as well as on the behalf of associated persons
- All compliance records located in powerful central database
- Each record covered by audit trail
- All records available via a flexible report engine able to produce a comprehensive list of reports to cover all your internal and external needs
- Fully web-based application which can be run in-house within your own IT infrastructure or hosted on the server of a reliable service-provider (see INSIDeR On-Demand)
- Most sensitive data fields are encrypted in the system database
- Username- and password-protected access to ensure that data is available only to authorized users
- Encryption of the traffic between the browser-based client interface and the application by Secure Socket Layer (SSL) technology
- Full audit trail
- Optional availability of additional security methods
