ACA Personal Trading Compliance Services
PTCC™ (Personal Trading Control Center™) provides complete Code of Ethics, 204A-1, and 17j-1 surveillance and will significantly reduce your operating costs when compared to traditional solutions. It provides all the features you’d expect such as preclearance, electronic confirms, and back testing plus features that no other system has, such as “risk based” analysis, third party insider trading mapping, and other controls that support the scrutiny requested by the SEC’s recent sweeps. PTCC™ will let you do much more and pay much less.
Organize
Capture all data for access persons, accounts, holdings, trades, confirms, outside activities, and certifications.
Supervise
Pre-clear trade requests on a real time basis. Automatically match and test confirms and red-flag any conflicts of interest with post-trade rule tests.
Archive
A complete audit trail of all records is available 24x7x365 and includes data feeds from leading brokers for confirms and holdings.
Pre-Clearance
Users can login anytime and from anywhere to pre-clear trade requests. Rules will engage automatically based on the user profile and can include 7-day blackout, open order, restricted list, de minimis exemption, short-swing profit, short sale, excessive trading, and/or any custom rules in your Code of Ethics.
Post-Trade Confirm Matching and Testing
Confirms are automatically matched to requests and exceptions are flagged. Confirms are also analyzed for rule violations and “what-if” analysis. Secure testing options allow for “zero leakage” of sensitive information in the fund holdings.
Certifications
Users can certify holdings, transactions, accounts and the Code of Ethics as well as custom certifications such as gifts and entertainment, outside affiliations, etc. Certifications can be scheduled by employee group on any frequency (annual, quarterly, monthly, initial, etc).
Dynamic and Flexible Configuration Options
No two shops or Codes of Ethics are the same - trading styles and information flows are highly variable and so are your configuration options. Our staff will help you set up a workflow specific to your needs, ranging from basic fact-checking to deep drilldown monitoring.
Connectivity
Get feeds from any source including brokers, trading systems, accounting systems, HR systems, or custom feeds. Standard Microsoft SQL Server database technology allows for total flexibility for your data.
Scalability
Our platform applies to IAs, B/Ds, Investment Companies, Hedge Funds, and Private Equity shops from 2 to 500,000 employees. We provide support for trading in any asset class in any market or jurisdiction.
To request more information on ACA’s personal trading compliance services or a personalized proposal for assistance with compliance needs, please follow this link or call Damon Zappacosta at 212.868.5940.