Compliance Employee Trade Track (CETT)

CETT was developed to implement all of the SEC’s employee personal trade requirements for financial institutions and other organizations subject to these regulations.

The main functionality of CETT is the following:

  • Allows employees to request approvals for trades in personal accounts.
  • Automatically approves trade requests that are not problematic from a compliance point of view.
  • Reconciles in real time employee requests with the affected trades received from the custodians and brokers.
  • Provides complex real time and batch reports required by the SEC.