Solution introduction
Simple Trade Monitor is RIA Compliance Technology's solution for personal securities transaction and holdings monitoring — a core requirement under your firm's Code of Ethics for all access persons
Historically, personal trade monitoring has meant ordering duplicate statements, chasing employees for quarterly submissions, manually sorting paper records, and reviewing holdings one document at a time
Simple Trade Monitor replaces that process with a clean, centralized digital workflow that makes trade monitoring faster, more reliable, and far less stressful for everyone involved.
