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Trade pre-clearance
Run every trade request from portal link to trade confirmation, and keep one history of what was cleared.
Trusted by the world's leading companies
Manage every trade request in one queue.
Covered persons request, your approvers decide, and each requester reports whether they traded.
Request from a portal link
Covered persons enter an email to get a unique link and need no account.
Learn more about user portals
Approvers you configure
Name approvers for a contact or a group, and both sets are combined automatically on review.
Learn more about role-based permissions
Decide with comments requesters read
Approve or reject with comments the requester reads in the email, the portal, and the PDF of the decision.
Learn more about the audit trailClose a request in three steps.
Request
Covered persons apply from the portal link, or an administrator enters it for them. Declarations are checked at the point of request, not chased later.
Review and decide
Reviewers see the requester's lists, active MNPI lists, and the blackout setting, then approve with conditions or reject with a reason.
Close the request
Approval expires at the hour you set. Before then, the person closes the request by confirming whether they traded.
In depth
Follow a request from declaration to decision.
Each requester declares, your reviewer decides, and both are kept on file.
Declarations on every request
Your policy's declarations become required checkboxes on the request form, so every request arrives complete.
Under a US policy, requesters declare the form accurate, that they hold no MNPI, and that they will trade within two business days of clearance.
If that changes before they trade, they agree not to trade and to tell you. They name the broker and the account's last four digits.
Requests for a related person
A related person requests clearance in the same queue, and each request names their Section 16 person.
In the portal, the first step asks who the request is for, and an administrator submitting on someone's behalf gets the same choice.
Or email the related person a request link that names their Section 16 person, so no portal of their own is needed.
Warnings for the reviewer
On review, a warning shows when the requester is on an active MNPI (material nonpublic information) list. Reviewers read it beside the requester's declaration and your policy.
A match against an open list flags the request for your review and never shows to the requester.
Counsel reviews requests to adopt, modify, or terminate a Rule 10b5-1 plan in the same queue as trades.
Expiration and trade confirmation
Every clearance expires at the hour you set, and the person is emailed automatically. Eleven emails go out in all, from request link to trade confirmation.
Before expiration, the person is asked whether they traded and reminded if unanswered. They close the request with their answer.
Each step (drafted, submitted, approved, rejected, expired, canceled, and confirmed) is recorded with who and when. Export the history as a PDF.
Worked example
Follow a CFO's sale from request to close.
Follow one request from portal to PDF approval.
Request
A CFO opens the portal, asks to sell 2,000 shares, and gives her broker and the account ending 4471.
Flag
On review, counsel sees that she is on an open MNPI list, beside her declaration and your policy.
Decision
Counsel approves "sale only, up to 2,000" with an expiration. Her PDF approval shows the conditions.
Confirmation
Two days later she confirms the sale to close the request. Every step sits in one history.
What compliance teams say.
See how listed companies, advisers and funds run their insider trading programs with InsiderList.
InsiderList is efficient and straightforward. We’ve been able to automate our compliance tasks with ease, and the support has been consistently responsive and helpful.
Katie Thomson
Assistant Company Secretary
Domino’s Pizza Group Plc
We are delighted to once again provide a cutting-edge technological solution to address a significant challenge. JTC Insider [InsiderList] has the ability to transform the regulatory reporting process and free up valuable time and resources.
Adam Jeffries
Chief Information Officer
JTC plc
InsiderList has a simple and intuitive interface, which made it easy for our team to adapt quickly. Their client support has been exceptional, and we were able to start benefiting from its features almost immediately.
Emma Woolard
Company Secretary
Boohoo Group plc
InsiderList helps us manage complex regulatory compliance across the organization. It substantially reduces risk and provides specialist regulatory advice we trust.
Louise O'Sullivan
Company Secretarial Assistant
Computacenter plc
With InsiderList, we can quickly create lists, track acknowledgments, and effectively manage the deal clearance process. This has saved time and reduced the administrative workload. The platform is easy to use and the support has been great.
Christa Zillwood-Hunt
General Counsel
LendInvest plc
After conducting a thorough review, InsiderList stood out as the clear market leader. Their advanced technology platform, deep understanding of the regulatory landscape, and ability to integrate into our core products sets them apart.
Thera Prins
CEO
Equiniti Shareholder Services (UK)
FAQs
Your questions, answered
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Our security program runs to ISO 27001, ISO 9001, and Cyber Essentials, with 256-bit encryption, least-privilege access, continuous monitoring, and an annual independent penetration test.
We've helped hundreds of compliance teams.
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Equiniti Selects InsiderList As Exclusive Provider To Offer Advanced MAR Compliance Automation Across Its UK Client Base
