Employee Trading Compliance, Automated.
Manage restricted lists, trade pre-clearance, exception workflows, 10b5-1 plans, employee onboarding, and surveillance from one modern compliance platform.
Built for public companies, asset managers, RIAs, hedge funds, and financial institutions.
Restricted securities
186
Open approvals
42
Surveillance alerts
14
Risk decisioning pipeline
Automated rule checks + human approvals
Submitted
Rule check
Manager review
Compliance sign-off
Audit trail
Capabilities
Purpose-built controls for employee trading oversight.
Trade Restriction Rules
Centralize issuer blackout rules, watchlists, employee risk tiers, and trading windows.
Pre-Clearance & Exceptions
Route requests, apply automated controls, and capture explainable approvals or escalations.
Employee Onboarding
Collect disclosures, policy attestations, household accounts, and training milestones in one flow.
10b5-1 Plan Management
Track cooling-off periods, brokers, certifications, amendments, and execution schedules.
Trade Surveillance
Monitor broker feeds, compare against restricted lists, and detect breaches with context-rich alerts.
Reporting & Audit
Produce audit-ready evidence packages, exception summaries, and regulator-friendly activity logs.
How it works
From ingestion to explainable decisions.
01
Connect employee and broker data
02
Define trade restriction policies
03
Automate approvals and exceptions
04
Monitor trades and generate audit-ready reports
Security and governance
Designed to be trusted by legal, compliance, and audit teams.
ClearCross gives compliance teams confidence that every control, exception, and approval is visible, explainable, and reviewable.
See the platform in action.
Explore the dashboard and the employee workflow experience.
Request demo
Turn interest into a real next step.
Demo requests now stay inside the app and are appended to a server-side text file for manual follow-up.