Effortless UPSI Compliance: Automating Email Data Capture for Seamless UPSI Management
proCS UPSI (Enterprise Edition) is a web-based UPSI management platform which helps the compliance officers centrally manage, track, and record all Unpublished Price Sensitive Information shared within or outside the organization via emails without manually updating on the portal.
System also generates complete SDD report with date-time stamping and audit logs. ProCS UPSI (SDD) system helps organizations maintain the confidentiality and integrity, keeping real-time track of sensitive information — preventing misuse or accidental disclosure before public announcements and ensuring regulatory compliance.
Schedule DemoAutomated UPSI capturing via Emails: The system is designed to capture the UPSI via e-mail without manually coming on to the portal to report UPSI.
Real-time Monitoring: Tracks all UPSI emails in real time with date and time stamping to identify and capture any communication containing potentially sensitive information.
Uploading of UPSI records for UPSI information shared physically or offline via manual entries or excel templates upload option.
UPSI Events: Apart from regular UPSI events prescribed by SEBI, compliance officers have the option to define company-specific UPSI types depending on organizational business practices, e.g., Projects etc.
Instant Alerts: Whenever a UPSI is shared, the system sends real-time email alerts or confidentiality notices to the recipient of the UPSI or UPSI holder.
Regulatory Compliance: Ensures compliance with SEBI’s Prevention of Insider Trading (PIT), GDPR, and other data protection laws.
Reports: Generates UPSI report with PAN of sharer and recipient, nature of information, and timestamped audit logs.
End-to-End Encryption: Sensitive emails containing UPSI are encrypted (SSI 256 Bit) during transmission and at rest.
Access Control: Restricted access ensures only authorized personnel can view or analyze UPSI information.
Training Modules: Includes training for Designated Persons and Admin team members on SEBI PIT Compliance, handling of sensitive information and recognizing potential risks related to non-compliances with recent case studies.
Email Archiving: Archives and maintain UPSI records for future reference or audit purposes in compliance with regulatory retention requirements.
Backup Mechanisms: Ensures that data is regularly backed with auto schedulers hence prevent loss of important compliance data.
Compliance: As the compliance SDD data needs to be maintained for the period of Eight Years.
Regulation 3(5) – Structured Digital Database (SDD)
The board of directors or head(s) of the organization of every person required to handle unpublished price sensitive information shall ensure that a structured digital database is maintained containing the nature of unpublished price sensitive information and the names of such persons who have shared the information and also the names of such persons with whom information is shared under this regulation along with the Permanent Account Number or any other identifier authorized by law where Permanent Account Number is not available. Such database shall not be outsourced and shall be maintained internally with adequate internal controls and checks such as time stamping and audit trails to ensure non-tampering of the database.