Prevent Conflicts of Interest
Keep dynamic restricted lists of off-limits securities to prevent unauthorised employee trading and conflicts of interest, with automated updates and integration across your compliance ecosystem
One Management Dashboard
Logwise’s Restricted Lists solution gives teams a central hub to manage all restricted securities and instruments. Whenever conflicts are identified, you can instantly add items to the restricted list and notify relevant individuals, preventing improper trades.
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 Restricted List Management
Centralised Dashboard
Consolidate all restricted securities in one place. Teams can manage multiple restricted lists from a unified dashboard, with options to filter by security, date added, or reason.
Instant Updates & Alerts
The moment you add or remove an instrument from a restricted list, the system instantly alerts all relevant users and teams. Notifications are sent via email and in-app, ensuring no one misses a critical update.
Pre-Trade Integration
Logwise integrates with personal account dealing workflows to automatically prevent or flag trade requests involving restricted securities. If an employee attempts to request approval to trade a restricted stock, the system will warn them.
Custom Rules & Duration
Define custom parameters for each restriction, including automatic expiry or review dates. For example, you can set a restriction to lift automatically after an earnings announcement, or require a review every 30 days for long-running deals.
Audit Trail of Changes
Every addition or removal on the restricted list is logged with a timestamp and the user who made the change. Compliance can easily review a history of all changes – who added a given security on what date, who lifted Y restriction and why. You can also export this change log for internal audits or regulator requests, providing full transparency into your controls.
Trusted by Leading Companies
Frequently Asked Questions
What does “restricted list” mean in compliance?
A restricted list is a list of securities that your firm has deemed off-limits for trading by employees or certain teams. Typically, a security goes on the restricted list when the firm has sensitive non-public information, a transaction-related role, a conflict of interest, or another compliance reason to restrict trading, research, sales, or other activity in that security. By prohibiting trades in those securities, the firm prevents insider trading.
Which businesses need restricted list management?
Restricted lists are used by investment banks, broker-dealers, asset managers, law firms, and corporations during sensitive periods. Any organisation that comes into possession of confidential market-moving information can benefit from using restricted lists. For example, if your company is advising on a merger or has seen a client’s financials before release, adding those stocks to a restricted list ensures employees don’t trade them until the information is public.
How does Logwise keep restricted lists updated?
Logwise provides a central platform to add or remove securities in real time. The moment you update the list, that change is reflected everywhere – relevant staff are notified immediately, and the new restriction is applied in the pre-clearance system.
Can we maintain multiple restricted lists (for different teams or regions)?
Yes. You can configure multiple lists if needed – for example, one global restricted list and separate lists for specific subsidiaries or funds. Logwise lets you segment restrictions by entity, department, or jurisdiction while still giving compliance a unified view.
How do employees know what they can or cannot trade?
Employees will receive an alert if a security they might trade becomes restricted. In practice, many firms also require employees to request trade approval – when they do, Logwise automatically checks the request against the restricted list and will block it if the security is restricted. Compliance can also configure periodic communications so that employees in certain groups can see which securities are currently restricted for them, without revealing confidential details behind those restrictions.
Still have questions?
Designed for Compliance Across Every Role
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What Compliance Teams Say about Logwise
8 min
November 3, 2023 MAR Requirements for Buy-Side Firms: Receiving Market Soundings and Logwise Solutions
