Seamless Compliance for Personal Account Dealing
Streamline every step of personal account dealing — from pre-trade clearance to transaction and holdings tracking. Logwise automates policy enforcement, logs actions for full audit trail, and instantly alerts on suspected violations — so your compliance stays strong and hands-free.
End-to-End Personal Account Dealing Compliance
Logwise centralises personal account dealing oversight into one platform, giving compliance teams full visibility and audit-ready records without the burden of manual tracking. By automating checks and consolidating reporting, it strengthens your firm’s market abuse prevention while freeing resources to focus on higher-value compliance work and proactive risk management.
Built for Financial Market Regulations
Specifically designed around the workflows that matter most to regulated firms.
Trusted & Secure by Design
Built on Microsoft Azure with ISO 27001 certification and GDPR-compliant infrastructure.
Fast to Deploy, Easy to Use
No installation required – start fast with intuitive workflows and onboarding support.
Purpose-Built Features for Personal Account Dealing
Pre-Trade Workflow
Employees initiate trade requests through an intuitive interface. Each request is automatically cross-checked against restricted lists and firm rules, ensuring prohibited trades are blocked before execution. Every approval or denial is logged instantly, creating a secure, audit-ready record of decision-making.
Automated Reporting
Logwise eliminates manual chasing for disclosures. Employees are prompted to submit post-trade reports and holdings updates directly through the platform, with supporting documents uploaded where required. All reports feed into a central log, simplifying regulatory filings and drastically reducing manual errors.
Compliance Dashboard
Gain a real-time, holistic view of all personal account dealing activity. The dashboard highlights pending requests, cleared trades, transaction history, holdings, and any violations. Customisable filters make it easy to spot anomalies or trends that may point to insider trading risks.
Alerts & Risk Detection
Stay ahead of potential violations with proactive alerts. If an employee attempts to trade without clearance or breaches internal restrictions, compliance is notified immediately. These alerts enable swift investigation and corrective action, preventing small oversights from escalating into compliance failures.
Unified Ecosystem
The solution integrates with your broader compliance framework. Logwise cross-links with your insider lists, market soundings, restricted lists and other customised rules. This means, for example, that if someone is added to an insider list for a deal, their personal trades in that stock can be automatically restricted or closely reviewed.
Trusted by Leading Companies
Logwise provides a robust and user-friendly solution that ensures you meet all your regulatory obligations.
Frequently Asked Questions
How does Logwise handle pre-trade clearance?
Logwise automates pre-trade clearance to prevent market abuse before it happens. Employees submit requests in seconds, which are instantly validated against restricted lists and firm-specific rules. Approvals or rejections are automated, logged, and fully auditable, giving compliance teams confidence that no unauthorised trades can slip through.
Can the system track employee transactions and holdings?
Yes. Logwise maintains a centralised record of every trade and periodic holdings report. Compliance officers can monitor employee activity, review positions, and export audit-ready reports instantly. This comprehensive view makes transaction and holdings reporting seamless, reducing manual work and ensuring no gaps in oversight.
Does the module generate alerts for potential policy breaches?
Absolutely. Logwise issues real-time alerts to detect violations such as trades without clearance, attempts to deal in restricted securities, or missing disclosures. These alerts allow compliance teams to act quickly, investigate risks, and prevent small errors from escalating into serious cases of market abuse.
Is it easy for employees to use?
Yes. The system is intuitive, guiding employees step by step through trade requests, approvals, and reporting. If a request breaches restricted list rules or policy limits, users are notified immediately. This reduces errors, promotes accountability, and makes compliance part of the everyday workflow.
How does Logwise integrate with our existing compliance tools?
The Personal Account Dealing module is part of Logwise’s compliance software ecosystem. It integrates seamlessly with insider lists, restricted lists, and other compliance workflows. This ensures consistent rule enforcement across the organisation, eliminating duplication and keeping all compliance records connected, accurate, and regulator-ready.
Still have questions?
Designed for Compliance Across Every Role
Logwise tracks and streamlines everything from insider list creation to PDMR approvals, ensuring all compliance records are complete, accessible, and review-ready for internal teams and regulators.
Support cross-functional compliance with secure, automated tools designed for collaboration. Features like role-based access, customisable workflows, and a modular system make Logwise ideal for teams of all sizes. Easily adapt to regulatory changes, roll out proactive updates, and collaborate securely across departments and stakeholders.
Logwise offers automated workflows that reduce manual effort, speed up dealflow, and strengthen compliance for investment banks and broker-dealers. Built for scalability, Logwise supports complex workflows across teams of any size with customisable modules and proactive compliance software features that adapt to regulatory changes.
Stay ahead of requirements with secure tracking of market soundings, insider lists, and PAD – protected by robust IT security measures.
Logwise helps investment management firms meet evolving expectations from regulators and internal compliance teams by delivering the tools needed to create a strong, proactive control environment.
Support core workflows such as market soundings, insider list management, policy oversight, and personal account dealing through automation, customisable modules, and role-based access. Centralise documentation and maintain audit-ready records across teams, while ensuring robust data protection through ISO 27001-certified infrastructure and full compliance with the Digital Operational Resilience Act (DORA).
Logwise helps advisors manage insider lists, wall-crossings, and disclosures, making collaboration seamless while maintaining full compliance.
Enhance productivity through automated workflows, integrated client compliance software, and streamlined approval processes. Stay aligned with evolving regulations by centralising controls and ensuring procedures are fully traceable, auditable, and secure.
Logwise gives IPO teams a structured, scalable system to manage disclosure processes, insider lists, and reporting obligations from day one – reducing risk during their most scrutinised period.
Role-based access ensures teams operate with clear responsibilities, while audit-ready tracking and flexible permissions support fast-moving collaboration with full control. Purpose-built for IPO needs, Logwise brings consistency, accountability, and visibility to every step of the compliance journey.
Logwise helps manage sub-insider lists and collaborate with clients across complex transactions and confidential workflows. Streamline disclosure obligations with secure, traceable processes designed for transparency.
Boost productivity through structured permissions, automated workflows, and seamless client communication. Ensure teams stay compliant with built-in tools for managing evolving regulations, centralised documentation, and audit-ready procedures.
What Compliance Teams Say about Logwise
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Further Reading
Navigating PDMR Compliance under MAR: Best Practices and Solutions
MAR “Persons Closely Associated” vs IAS 24 “Related Parties” – Definitions and Differences
Legal Entities as “Persons Closely Associated” Under MAR
Guide To Permanent Insiders and Persons Discharging Managerial Responsibilities
What Is an Employee Conflict of Interest in Trading and When Does It Occur?