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.

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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

Track

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.

Competitors

Access to few custodians

One-size-fits-all rules and workflows

Inability to perform frontrunning reviews

Clunky and confusing interface

Inform

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.

GET THE WHITEPAPER

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

Employee Trade Monitoring: Made Simple

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

Monitoring Employee Trade Activity Has Never Been Easier.

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.

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.

Employee Trade Monitoring:
Made Simple

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

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.