Employee Trade Monitoring:
Made Simple

Regulatory obligations are just that—obligations.
Are you doing enough to meet SEC requirements for personal securities trading?

Orion’s Inform empowers compliance officers to automate employee trade monitoring to proactively identify potential Code of Ethics violations.

Inform is available as a standalone personal securities trading tool for any advisory firm to use.

Learn how to guard your firm against the ever-changing regulatory landscape. Get our latest whitepaper now.

Monitoring Employee Trade Activity Has Never Been Easier.

Monitor and compare

employee trades against firm-wide trade activity

Maintain and distribute

affirmations, certifications, and disclosures related to the Code of Ethics


approvals and rejections of gifts, outside business activities, and more

Keep results

for easy record keeping and future access for the SEC and state regulators


Other solutions simply fall short. That’s why we teamed up with MarketCounsel and AdvicePeriod, two of the brightest minds in compliance, to build a better option.



Access to few custodians

One-size-fits-all rules and workflows

Inability to perform frontrunning reviews

Clunky and confusing interface


Access to 1000+ custodians

Custom rules and workflows

Automated front running reviews1

Dashboard-centric experience

1For firms who use Orion’s trading tools

The Code of Ethics rule is one of the five most identified topics in SEC deficiency letters.2 Learn how Inform can keep you on the right side of compliance.


22019 SEC Compliance Risk Alert | 0374-OAS-4/24/2019