Restricted / Gray Listed Securities
Gray Listed Security Database with Trade Restrictions.
Insider Compliance Management System Schedule C
A centralized platform for Annual Disclosures, Trade Clearance and Reconciliations for Non Compliance Tracking as per SEBI regulations & amendments
The Insider Compliance Management System (ICMS) is designed for Banks, Depositories, Auditors, Intermediaries, Fiduciaries, and PCS to ensure compliance with SEBI’s PIT Regulations – Schedule C, which mandates monitoring and reporting of securities trading by designated persons and their immediate relatives, particularly in gray-listed securities. The system automates the disclosure process and allows users to upload holding details directly from CDSL and NSDL Consolidated Account Statement (CAS) PDF files. ICMS also supports integration with CDSL and NSDL APIs for daily trade reporting to identify non-compliances. Additionally, designated persons can upload quarterly Excel transaction statements to report trades and flag any instances of non-compliance. The platform also maintains Disclosure and UPSI SDD logs based on UPSI information received from listed clients, ensuring comprehensive compliance oversight.
Schedule DemoModules of Insider Compliance Management System - Schedule C
Disclosure Management
Annual or Period - Holding Disclosures for Self & Relaives.
CAS Upload Provision
Upload CDSL/NSDL CAS file to auto capture Holdings.
Trade Requests & Review
Auto or Manual Approval on Securities open for Trade.
Trade API Integrations
CDSL/NSDL Trade API integration for Daily Trade Reporting & NC.
Non Compliance Tracking
Trade in Restricted Securities or Without Approval, Contra Trades.
PIT Awareness Programs
Video Training Module & Insider Awareness Sessions on PIT Regulations.
SDD Audit Ready
Auto generation of SDD Audit Log Reports, required as per SEBI Inspections.
Structured Digital Database
Manual & Auto Recording of UPSI emails for SDD with Audit Trail.
What's in the package?
Insider – Self & Relative Disclosures
UPSI SDD – Manual & Email based
Restricted Company Master
Auto Capture UPSI from Emails
Holding Update using CAS Statement
Corporate Actions Reporting
Auto Trade Approvals
Corporate Actions Reporting
Trade Disclosures
Available as Dedicated Windows app*
Trade Reconciliation using API’s
User Training Module – Doc & Videos
Non Compliance Trading Reports & Alerts
On Demand Training Sessions
Protect Your Brand & Reputation
Secure & declare confidential information from getting out of the organisation.
Get SEBI Complaint
All UPSI will be identified and its confidentiality shall be maintained as per the requirements of the SEBI Regulations, 2015.
Stay on track
Maintain a list of all employees and other persons with whom UPSI is shared.
Benefits of proCS Insider Compliance Management System (ICMS)-C
Fast Track Audits
Conduct periodic process review to evaluate the effectiveness of internal controls through the ICMS portal.
Avoid Heavy Penalties
No adherence to SEBI's UPSI guidelines can attract penalty of Rs.10 lac to 25 lacs.
Be Updated
Get regular updates on changing SEBI guidelines from our experts.
Want to know more about proCS ICMS?
proCS Insider Control Management System can help your organisation to easily comply with SEBI UPSI SDD and PIT Regulations.
Frequently Asked Questions
- Capturing of Unpublished Price Sensitive Information (“UPSI”) through e-mail automation- The UPSI is automatically recorded via emails. No manual entries required to be made.
- Pre-clearance module- Automated option of raising the pre-clearance request by the Designated Persons and the approval by the Compliance Officers can be done with ease along with BENPOS integration to automatically track any non-compliance.
- Disclosure Module- Auto creation of disclosure tasks for Initial and Annual Disclosure. Form submission to Compliance Officer with Digital library of Disclosure forms and comprehensive reporting.
- BENPOS Integration – Auto tracking of trading report & non- compliance trades through BENPOS integration.
- Notification for Closure and Opening of Trading Window
Yes, it has all the functionalities relating to SEBI (Prohibition Insider Trading) Regulations, 2015.
Yes, comprehensive audit logs are automatically maintained by the system with date time stamping.
The UPSI data can be entered in the system via manual entry, excel upload and automated method via e-mail based automation.
No, the data relating to Unpublished Price Sensitive Information cannot be modified or deleted in the tool.
Yes, all the above reports can be downloaded from the tool in either .pdf or .xls.
Yes, System provides option to close & share the trading window notifications.
Yes, the tool includes corporate actions like split, bonus shares, pledge etc.
You’re never on your own with proCS. There will be a dedicated Customer Success Manager for help along with a strong support team 24*7 available for our clients.
Yes, Insider Trading Compliance application can be hosted on-premise server with complete security logs and access rights.