Announcing InsiderList Projects. Let trusted people set up and run sensitive projects with oversight.
Learn more about ProjectsPlatform
Code of ethics reports
Collect signed initial, annual, and quarterly access person reports, match every trade to its pre-clearance, and sign off each quarter in one place.
Trusted by the world's leading companies
Sign every report. Match every trade.
Rule 204A-1 sets the reports and the deadlines, your code names the people, and each report is collected automatically.
Designate access persons with dates
Designate each person as an access, investment, or supervised person, or use your own term. Record the accounts they and their related persons report.
Learn more about covered persons and related persons
Collect signed reports on schedule
Initial holdings are due within 10 days of designation, annual on your date, and quarterly transactions within 30 days of quarter end. Each report's status is recorded.
Learn more about the three reports
Raise an exception for unmatched trades
Each trade on an imported statement is matched to the quarter's pre-clearance requests and your restricted securities. Anything unmatched opens an exception for your reviewer.
Learn more about trade pre-clearanceSign off the quarter in three steps.
Designate
Add the person with a designation, its effective date, and their reportable accounts. Their initial holdings report opens with a 10-day due date.
Report
From a unique emailed link, each person uploads a statement or imports a CSV per account, checks the trades listed, and signs.
Sign off
Your reviewer resolves each exception with a note and signs off the report. Once every report is in, they sign off the quarter.
In depth
Follow an access person from designation to quarter-end sign-off.
You set the schedule, each person signs, and your reviewer sees every report.
Designate access persons and their accounts
Your pre-clearance list is the access person list, and each member carries a dated designation as an access, investment, or supervised person, or your own term.
Reportable accounts for the person and their related persons are kept in the person's profile, as Covered persons & related persons describes. Each has a broker and account reference.
Filter the list for who was an access person on any date and which accounts they reported, or read it from their history.
Run all three reports as attestations
Each report is sent the day a designation starts, on your annual date, or after quarter end.
Each person signs from a unique emailed link, and the wording they signed stays in their history.
Reminders run until the due date, and each request ends as completed, exempt, no longer covered, or no response. Your reviewer sees that result, never a blank.
Match every trade to its clearance
Each person uploads a broker statement or imports a CSV for each account, and its transactions are listed automatically.
Each transaction is matched to the quarter's requests and results on Trade pre-clearance, and to your restricted securities.
A trade with no clearance, a clearance with no trade, or a restricted security opens an exception for your reviewer, with the person's explanation attached.
Sign off each report and each quarter
Your reviewer resolves each exception with a note and signs off the report. Once every access person's report is in, they sign off the quarter.
Holding-period and short-swing checks flag reported transactions for your review.
Every sign-off, exception, and resolution carries a timestamp and a name.
Worked example
Follow an analyst's quarterly report.
An access person since January, with two reportable accounts.
Her report opens on April 10
Her report covers January to March and is due 30 days after quarter end. She uploads two broker statements, and the import lists nine trades.
Exception
Eight match a pre-clearance request that was confirmed as traded. One, in a restricted security, has no clearance, so an exception opens with her explanation attached.
Her reviewer signs off
Her reviewer resolves the exception with a note and signs off her report. After the last report, they sign off the quarter.
Evidence
What the examiner receives.
Advisers Act Rule 204-2 requires five years of reports and review records, so export them as they were signed.
Export the quarter
Export the status and the reviewer's sign-off for each report and each quarter.
Show each exception with its note
Each exception appears with the person's explanation and the reviewer's note, so nothing closes unexplained.
Export one evidence file per person
Export matters, restrictions, pre-clearance requests, reports, and attestations for one access person in one file.
Set your own retention period
Records are kept for the period you set, with Rule 204-2's five-year floor shown beside that setting.
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)
Everything you need in one platform.
FAQs
Your questions, answered
Industry-leading security
We use 256-bit encryption, continuous monitoring, and an annual independent penetration test. Our security program runs to ISO 27001 and ISO 9001 with Cyber Essentials.
We've helped hundreds of compliance teams.
Learn how we work with clients to automate their compliance journeys.
Equiniti Selects InsiderList As Exclusive Provider To Offer Advanced MAR Compliance Automation Across Its UK Client Base
TCA achieves B Corp Certification, joining global movement for positive change
Leading compliance teams use InsiderList.
Schedule a product demo to see why.