Personal Account Dealing compliance software

A fully auditable view of employee trading

Ruleguard’s Personal Account Dealing compliance software demystifies the FCA's COBS, MAR and MiFIR rules, ensuring your firm's employees are transparent, conflict-free, and aligned with market integrity principles.


Key benefits of our Personal Account
Dealing compliance solution

Our fully configurable software provides a comprehensive solution and auditable view of your employees’ trading activities to meet FCA’s Personal Account Dealing (PAD) regulation requirements. Explore our PAD compliance solution benefits.


Simple and fast notifications

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


Proactive compliance

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.


Complete oversight

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.


Safeguarding your reputation

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.