Insider Trading e-Compliance™
Everything really automated!
A fully automated insider trading compliance platform — from pre-clearance and disclosure management to automated stock exchange reporting making compliance effortless for employees
Insider Trading
e-Compliance™
Everything really automated!
A fully automated insider trading compliance platform — from
pre-clearance and disclosure management to automated stock exchange
reporting — making compliance effortless for employees and officers alike.
Simplify Your Insider Trading Operations
Insider Trading e-Compliance™ makes compliance straightforward for both employees and compliance officers. It doesn't just detect violations and notify compliance officers — it actively prevents violations before they occur through intelligent automation and real-time checks.
From initial disclosure and pre-clearance requests through to timely market disclosure and automated stock exchange reporting, every step in the compliance lifecycle is handled seamlessly — with minimal manual intervention.
Regulatory Regions
Regulatory Regions
Features & Capabilities
Core Activities
- Initial & Periodic Disclosure management
- Request for Pre-Clearance submission
- Approval / rejection of pre-clearance requests
- Reporting of trades executed (including from mobile)
- ESOP shares allotment management
- Trading Window closure management
Built-In Automation
- Auto-generation of Form B, Form C & Form D
- Auto-generation of Pledge transactions
- NSE Excel file & Exchange covering letter generation
- All consequential activities for ESOP allotment
- Automated reports for compliance officers
- Auto-approval of pre-clearance requests meeting criteria
Violation Tracking
- Violation detection at pre-clearance stage
- Violation detection at trade reporting stage
- Threshold monitoring for exchange reporting
- Contra trade detection and flagging
- Benposs vs employee holding comparison
- Auto-rejection of requests that would cause violations
Automated Reminders
- Initial disclosure reminders
- Periodic disclosure reminders
- Pre-clearance approval validity alerts
- Trade reporting deadline reminders
- Restricted trading window closure notifications
- Pending compliance & admin activity alerts
Compliance Management
- Auto-detection of violations with employee explanation prompts
- Deviation reporting to Compliance Officer
- Auto-approval with time lag for matching criteria
- Requests that would cause violations auto-rejected
- Full audit trail of all compliance activities
Flexibility & Configuration
- Editable message and email templates
- Parameters configurable per company code
- Define frequency of Restricted Trading Window reminders
- LDAP / Active Directory integration for login
- HRMS & ESOP system integration via CSV / FTP
User Roles
Compliance Officer
Full oversight, violation review, approval of pre-clearance, reporting to stock exchanges
Designated Employees
Pre-clearance requests, trade reporting, initial & periodic disclosures
Non-Designated Employees
Disclosure obligations and trade intimation as applicable under SEBI regulations
Connected Persons
Insider disclosure and compliance tracking for connected individuals per regulatory scope
Admin
System configuration, employee management, parameter setup, and HRMS data integration
Regulatory Compliance
Coverage
SEBI (Prohibition of Insider Trading) Regulations, 2015 — Fully Covered
The system is fully aligned with SEBI's Insider Trading regulations as updated with all amendments to date. All SEBI categories are available with applicable provisions and compliances — and each user has login rights with appropriate roles to ensure segregation of duties and auditability.
Regulatory Compliance Coverage
SEBI (Prohibition of Insider Trading) Regulations, 2015 — Fully Covered
The system is fully aligned with SEBI's Insider Trading regulations as updated with all amendments to date. All SEBI categories are available with applicable provisions and compliances — and each user has login rights with appropriate roles to ensure segregation of duties and auditability.
Beyond India — Global
Applicability
Adaptable Architecture
While designed and deployed for Indian companies under SEBI regulations, the underlying compliance engine is configurable — regulatory forms, approval workflows, disclosure categories, and notification templates can all be customised for other jurisdictions.
UK & European Markets
The system architecture can be adapted to cover MAR (EU Market Abuse Regulation) and FCA insider dealing requirements — covering PDMR notifications, closed period management, and insider list management for European-listed companies.
Japan Market
With our deep expertise in Japanese regulatory software and bilingual engineering capability, the platform can be adapted for Japan's Financial Instruments and Exchange Act (FIEA) insider trading compliance requirements for listed companies.
Custom Builds for Other Regions
For markets not yet covered by the standard product, we offer custom development engagements to build a region-specific compliance variant on the same proven platform — leveraging existing automation, audit trail, and workflow infrastructure.
Beyond India — Global Applicability
Adaptable Architecture
While designed and deployed for Indian companies under SEBI regulations, the underlying compliance engine is configurable — regulatory forms, approval workflows, disclosure categories, and notification templates can all be customised for other jurisdictions.
UK & European Markets
The system architecture can be adapted to cover MAR (EU Market Abuse Regulation) and FCA insider dealing requirements — covering PDMR notifications, closed period management, and insider list management for European-listed companies.
Japan Market
With our deep expertise in Japanese regulatory software and bilingual engineering capability, the platform can be adapted for Japan's Financial Instruments and Exchange Act (FIEA) insider trading compliance requirements for listed companies.
Custom Builds for Other Regions
For markets not yet covered by the standard product, we offer custom development engagements to build a region-specific compliance variant on the same proven platform — leveraging existing automation, audit trail, and workflow infrastructure.
Technical Specifications
Server Configuration
- CPU
- Intel Quad Core Xeon
- RAM
- 8 GB
- Storage
- 2×1 TB SATA on RAID 1
- OS
- Windows Server 2012 R2 / 2016 Standard 64-bit
Development Stack
- Web Server
- Apache Tomcat 9.0
- App Server
- Apache 2.4
- Framework
- Struts 1.3.10, Hibernate 4.3.4, JPA 2.1
- Runtime
- JRE 1.7.0, JSP 2.2, Servlet 3.0
- Database
- MySQL 8.4
User Environment
- OS
- Windows 7 / Windows 10
- Browser
- IE 10+, Chrome 25.0+
- Mobile
- Trade reporting via mobile device
- Auth
- LDAP / Active Directory integration
- Integration
- HRMS, ESOP system via CSV / FTP
Technical Specifications
Server Configuration
- CPU
- Intel Quad Core Xeon
- RAM
- 8 GB
- Storage
- 2×1 TB SATA on RAID 1
- OS
- Windows Server 2012 R2 / 2016 Standard 64-bit
Development Stack
- Web Server
- Apache Tomcat 9.0
- App Server
- Apache 2.4
- Framework
- Struts 1.3.10, Hibernate 4.3.4, JPA 2.1
- Runtime
- JRE 1.7.0, JSP 2.2, Servlet 3.0
- Database
- MySQL 8.4
User Environment
- OS
- Windows 7 / Windows 10
- Browser
- IE 10+, Chrome 25.0+
- Mobile
- Trade reporting via mobile device
- Auth
- LDAP / Active Directory integration
- Integration
- HRMS, ESOP system via CSV / FTP
Why Insider Trading
e-Compliance™
Prevention, Not Just Detection
Most compliance tools alert after a violation. This system stops violations from occurring — automatically rejecting requests that would breach thresholds, and prompting explanations where deviations are detected.
End-to-End Automation
From the moment an employee submits a pre-clearance request to the automatic generation of exchange-ready forms and filing — the entire lifecycle is handled by the system with minimal manual steps.
Designed for Compliance Officers
Dashboard visibility of all pending actions, automated exception reports, and direct system-generated notifications to employees — reducing compliance officer workload significantly.
Built and Supported by Unikaihatsu
The product is built and maintained by our in-house engineering team — meaning customization, integration, and regulatory updates are handled directly by the developers who built it, not an offshore support desk.
Fully Audit-Ready
Every action, approval, rejection, and disclosure is logged with timestamps and user attribution — giving compliance officers and auditors a complete, tamper-evident record of the compliance lifecycle.
Extensible to Other Markets
Companies with operations in multiple markets can request customised variants of the platform for other regulatory jurisdictions — built on the same proven compliance engine, adapted to local requirements.
Why Insider Trading e-Compliance™
Prevention, Not Just Detection
Most compliance tools alert after a violation. This system stops violations from occurring — automatically rejecting requests that would breach thresholds, and prompting explanations where deviations are detected.
End-to-End Automation
From the moment an employee submits a pre-clearance request to the automatic generation of exchange-ready forms and filing — the entire lifecycle is handled by the system with minimal manual steps.
Designed for Compliance Officers
Dashboard visibility of all pending actions, automated exception reports, and direct system-generated notifications to employees — reducing compliance officer workload significantly.
Built and Supported by Unikaihatsu
The product is built and maintained by our in-house engineering team — meaning customization, integration, and regulatory updates are handled directly by the developers who built it, not an offshore support desk.
Fully Audit-Ready
Every action, approval, rejection, and disclosure is logged with timestamps and user attribution — giving compliance officers and auditors a complete, tamper-evident record of the compliance lifecycle.
Extensible to Other Markets
Companies with operations in multiple markets can request customised variants of the platform for other regulatory jurisdictions — built on the same proven compliance engine, adapted to local requirements.
Interested in a Demo?
See Insider Trading e-Compliance™ in action — from employee pre-clearance requests through to automated stock exchange reporting.
Request a demo or get in touch to discuss how
Insider Trading
e-Compliance
™
can be deployed and customised for your organisation.