Staff Trading
by Complii FinTech Solutions · Regulatory reporting and risk · Sydney, NSW, Australia
Employee personal trading oversight
What Staff Trading does
- Digital Document Storage
- Chinese Wall Register
- Breach Register
- Client Profile
What Staff Trading is used for
- Manage, check and reconcile pre-order staff trading requests
- Record and disclose conflicts of interest to clients
About Complii FinTech Solutions
Compliance, risk and operations platform for AFSL holders, covering staff trading, financial crime monitoring and capital raising.
Complii FinTech Solutions in the vendor registry: its products, features and similar vendors.
Also by Complii FinTech Solutions
- Complii platform: Compliance and risk management for AFSL holders and advisers
- Financial Crimes monitoring: Monitoring for AML and financial crime obligations
- Adviser Bid: Capital raising bid management for brokers
- PrimaryMarkets: Unlisted share trading platform
- Caddie: E-learning and CPD management
More in this category: Regulatory reporting and risk management software.
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