Personal Account Dealing compliance software

Automate the request and declaration process for personal trades, enabling quick and compliant notification, and maintaining a robust defence against market abuse risks.

Ruleguard helps you cultivate a culture of compliance with your firm’s policies and procedures. Compliance teams will be able to identify conflicts of interest, insider trading or market manipulation with ease.

From pre-trade approvals to post-trade analyses, the Ruleguard platform offers a complete solution for monitoring and managing personal account dealings, ensuring every transaction is in line with your firm’s ethical standards.

Demonstrate that the notification and approval process is embedded in your firm’s DNA. We make it easy for staff to create notifications, to protect your firm’s reputation at all times with our customised stop lists to tailor the rules to your firm around transparency and integrity.