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Insider trading compliance for financial and legal firms.
Run your information barrier for every client, from over-the-wall request to quarterly sign-off.
Trusted by the world's leading companies
We built InsiderList for your information barrier.
Deal teams, compliance, access persons, and client counsel work in one place.
Compliance officers
Sign off from one queueDecide every request and sign off each quarter from one queue.
Learn more about restricted securities
Deal teams
Send one request per matterName the client, the people, and the securities, send it to compliance, and close the matter when the deal is announced.
Learn more about bringing people over the wall
Add access persons
Clear trades and sign reportsRequest clearance for a trade and sign each quarter's report in the portal.
Learn more about code of ethics reporting
Client issuer's counsel
Give clients only their matterSend each client the over-the-wall record and access report for their matter alone, in date order.
Learn more about MNPI mattersUp and running in three steps.
Add clients
Add each client as its own account with the access persons your code names.
Set the rules
Enter standing restrictions for live mandates, board seats, and the firm's own stock, then name your approvers.
Let matters run
Compliance approves each deal team's request, and the matter's securities stay restricted until it is closed.
Worked example
Follow a matter to quarterly sign-off.
Your deal team asks, compliance decides, and every step is recorded automatically.
A partner wants three people over the wall.
On Monday an M&A partner asks to bring two associates and a research analyst over the wall for a client's acquisition.
Compliance approves, the three acknowledge in the portal, and the client's ticker joins your restricted securities for those three alone.
Each crossing is recorded with the employee, department, date, issuer, and requester. Wall crossing covers the request and cleansing.
Her trade request comes back flagged.
A week on, the analyst asks in the portal to buy that stock, and on review her request carries a flag naming the matter.
Her reviewer rejects with a reason she reads in her email and the portal, and she never sees the flag or the restriction.
A match reaches you as a flag beside her request. Personal trading covers pre-clearance.
On announcement the partner closes the matter.
When the deal is announced, the partner closes the matter to cleanse all three and end their restriction, and the date is recorded.
Its row stays in history, and removing one recipient early does the same for that person alone.
MNPI matters describes how each client's matters are kept.
Her quarterly report is requested on April 10.
On April 10, the analyst is asked for her quarterly transaction report, and she uploads two broker statements.
Nine trades are imported and eight matched to their clearances automatically. For the ninth, in a restricted security, an exception opens with her explanation.
Her reviewer resolves it and signs off her report and the quarter. Code of ethics reporting covers the three reports.
Keep three more things in the same place.
Run wall-cross soundings for a client
Sound investors with your client as principal. Respondents see a code name until they consent.
Export each client's evidence
Export each client's evidence by matter, or one evidence file per person.
Learn more about the audit trail
Keep each client's records apart
Switch between client accounts from one dashboard without mixing their records.
Learn more about team collaboration
Onboarding
We'll onboard all your data free of charge.
Free onboarding
We set up your clients, lists, and standing restrictions, with no implementation fee.
No IT support required
We host the platform in the cloud with nothing to install, so your IT team stays off the project.
Complete in 24 hours
Your data is loaded and ready to use within 24 hours.
FAQs
What buyers ask us
Industry-leading security
Our security program runs to ISO 27001, ISO 9001, and Cyber Essentials, with 256-bit encryption, continuous monitoring, and an annual independent penetration test.
Advanced data encryption
256-bit encryption for your data in transit and at rest.
ISO 27001, ISO 9001, and Cyber Essentials
Our certified management systems for information security and quality are hosted on AWS.
Continuous security monitoring
24/7 monitoring with incident response procedures in place.
We've helped hundreds of compliance teams.
Learn how we work with clients to automate their compliance journeys.
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