Corporate Registry Services

Serving investors through new Issues and Registry & Transfer has been the our strength for more than 30 years making us the market leader of the financial solutions space.

Manage insider trading in its tracks with FINTRAKS

For listed securities, one of the concerns of compliance officers is monitoring the personal trading of employees in accordance with the best practices and regulations. For the convenience of our clients, we developed FINTRAKS (https://kcas.kfintech.com/fintraks), an effective system for compliance, that assists the compliance officer in monitoring the dealings of the employee, and generate violation reports. It provides a web-based platform to the employees to comply with the requirements of the code of conduct of the company.

MULTI – LEVEL ACCESS

  • Senior Mangement
  • Compliance Officer
  • Insiders

FEATURES FOR SENIOR MANAGEMENT/COMPLIANCE OFFICER

  • 100% compliant to SEBI guidelines
  • View trade window and insider details based at multiple locations
  • Request approval / refusal / partial approvals for insiders
  • Option to upload Employee details in bulk and communication via bulk email
  • Option to view complete transactions or can be customised
  • Compliance officer via MIS can generate various types of weekly comparison reports and requests
  • Option to include shares / different securities of multiple companies
  • Option to upload documents relating to insider code
  • To set a threshold value (current & cumulative) limit based on shares and share value
  • Trade window planner – auto emails will be triggered as per the pre-scheduled set by the compliance officer

ADDITIONAL FEATURES

  • News Ticker from compliance officer to employees
  • Quick Help Desk to support with Key Personal Details

QUICK LOOK AT REPORTS FOR COMPLIANCE OFFICERS AND INSIDERS

  • Violation Report
  • Ledger Report
  • Transaction Report
  • Employee Based Report

MULTI – LEVEL ACCESS

  • Add / Modify personal details
  • View and Edit Transaction / Holding details
  • Raise a request for self / relatives
  • Mandatory disclosure provision for forms online
  • Confirmation of purchase / sale of securities after approval
  • Activation / Deactivation option for family members