Confidently Manage Sell-Side Compliance Workflows
Logwise offers sell-side firms one platform to manage market soundings, issuer-linked insider lists, staff dealing controls, restricted lists, and related policies in a structured, repeatable way. Support front office execution and compliance oversight without relying on spreadsheets and email chains.
Standardise market soundings and wall-crossing
Move market sounding steps into structured workflows with consistent scripts, consent capture, and clear records.
Control insider access across transactions
Limit access to sensitive deal information with clear ownership, approvals, and traceable sharing across teams.
Keep restricted lists aligned to activity
Maintain restricted instruments in one place and apply checks consistently across relevant workflows.
Reduce manual follow-ups and admin work
Replace scattered emails and spreadsheets with repeatable processes that keep obligations on track with less coordination effort.
Stay ready for audits and enquiries
Create a timestamped audit trail so evidence is easy to retrieve for internal reviews, clients, and regulators.
Protect deal data with strong controls
Keep sensitive compliance data protected with role-based access and security assurance suited to regulated workflows.
Security and Assurance
Logwise is built to meet the assurance needs of regulated firms handling sensitive information.
ISO 27001
certified information security controls
Cyber Essentials
certified and independently audited
Ecovadis
rating for responsible business practices
IASME
assurance supporting GDPR practices
Azure
ensuring secure cloud infrastructure
Featured Solutions for Sell-Side Firms
Market Soundings
Support structured sell-side sounding workflows with consent capture, logged communications, and records that are easier to review later.
Subsidiary Insider Lists
Create issuer-linked insider lists when your firm is acting on behalf of a client, without forcing issuer-only delay-disclosure steps into the workflow.
Restricted Lists
Maintain dynamic restricted lists and bring them into trading checks so prohibited or high-risk activity is flagged early.
Personal Account Dealing
Run pre-trade clearance, holdings reporting, and post-trade monitoring with rules that can reflect firm policy and local practice.
Policy Management
Distribute internal policies, collect acknowledgements, and track confirmations across teams to support consistent trading and compliance controls.
Frequently Asked Questions
Is this aimed at compliance teams or front office teams?
Both. The platform supports front office execution and compliance oversight, with roles and permissions that can reflect how your firm separates those responsibilities.
How does Logwise support sell-side market soundings?
Logwise supports a structured market sounding process with consent capture, communications records, and an audit trail that is easier for compliance to review later.
Can we keep insider lists for client work without using issuer delay-disclosure steps?
Yes. When your firm is acting on behalf of an issuer, Logwise can support issuer-linked insider lists in a simpler advisory workflow.
How do staff trading controls connect to live deals?
Pre-trade requests can be checked against restricted lists, project context, insider status, and other configured rules before a request is cleared.
Can compliance review projects without being added manually every time?
Logwise supports broader oversight models where compliance users can review projects, filter information, and export records according to the firm’s access model.
Can we still use our own policy rules and trade restrictions?
Yes. The platform can support firm-specific rules and approval workflows rather than forcing one uniform model across every organisation.