Employee Personal Trade Monitoring overview

SimpleEPT is a browser-based Java enterprise application that automates employee personal trade monitoring. It uses the advanced rule engine and the latest Web 2.0 (AJAX), providing user friendly interface, high performance and quality.

SimpleEPT spans all areas of employee personal trading, from pre-clearance request authorization to post-trade reconciliation, certification and reporting; ensures comprehensive, documented compliance for any firms subject to personal trading regulations and mandates. It greatly improves visibility into access employee personal trading; simplifies compliance process and reduces paperwork; streamlines workflow and comprehensive monitoring to avoid SEC-imposed fines.

SimpleEPT Suite™ consists of the following major modules:

  1. Firm Policy.

    Compliance manager can set up firm policy document, firm certification, master security and firm restricted security. Access person can read firm policy document, submit certification and search on master security.

  2. Access Person.

    Access person can disclose broker accounts, submit pre-trade request, and view his/her own holdings. Compliance manager can also input broker confirmation transaction and broker position.

  3. Firm Transaction.

    Compliance manager or system admin can input or load firm trade, firm order, firm holding and firm Recommendation.

  4. Detection Builder.

    Compliance manager or system admin can build rules on pre-clearance and/or post-trade to comply SEC rules, ICI recommendations, and firm’s code of ethics.

  5. Workflow.

    It has build-in configurable workflow for pre-clearance/post trade transaction. firm certification etc.

  6. Report.

    It has various build-in reports. Adding a new report is easy by simply adding a new jasperreport template.

  7. Administration.

    Compliance manager or system admin can manager users(access person) with role, group and org unit code.

  8. Resources.

    Resource is the center place to manage some entities that used within the system. Those are File Format and Drop-downs.

The Glossary contains common terms used in this document.