Digitisation when checking staff’s private share deals

Record stock trading drives banks towards digitisation

More and more private investors are trading in stocks, ETFs and derivatives. Employees of banks and financial service providers are no exception when it comes to this trend. Their employer institutions are obliged by regulatory requirements (German WpHG) to check staff’s private securities transactions to detect and combat insider trading and market manipulation. This becomes work-intensive if staff trade in financial instruments via third-party banks, e.g. neobrokers.

 

Read the ePaper and learn why the management of duplicates is receiving unforeseen attention:

• More securities trading, more duplicates, compliance departments are brought to their knees
• Manually managing duplicates costs time and is error-prone
• Automation: The exit strategy from the time-and-cost trap

 

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