Case Study: a leading financial services provider achieves clear visibility into employee trade activities with Persistent Systems

Persistent automates employee trading compliance process to help the client achieve clear visibility into employee trade activities

Persistent Systems worked with a leading financial services provider that needed a more agile, flexible, and responsive way to track employee trading activities and meet SEC and FINRA compliance requirements. The client was struggling with manual pre-trade clearance, post-trade surveillance, reporting, and case handling, which made it difficult to maintain visibility and keep up with regulatory audits.

Persistent Systems implemented a fully integrated employee trade compliance management system with configurable workflows, automated rule-based pre-trade approvals and denials, smart post-trade surveillance, alerting, and dynamic case management. The solution replaced manual processing with end-to-end automation, giving the client clear visibility into trade activities, violations, and compliance tasks while improving investigation efficiency and reporting across the enterprise.