Monitoring employee transactions and enforcing codes of conduct
Banks require more security in respect of compliance with the rules on trading transactions by their employees. They accordingly implement systems that enable audit-proof documentation and analysis. The core is the analysis of the securities transactions of the employees. In doing so, third-party bank transactions or general restrictions, such as minimum retention periods, are inspected, or trade bans in respect of certain instruments (for example, prior to the publication of annual reports) are indicated.
The MAID (Market Abuse and Insider Dealing
Detection) software module enables you to register
employee transactions with third-party banks and investigate these. In
addition, it also allows the inspection of employee orders prior to their appointment,
as part of a pre-clearance.