Pre-clearance workflow

Submit and route trade requests

Capture employee intent, run controls, route manager sign-off, and document compliance decisions in one workflow.

Request form

Employee

Security symbol

Trade type

Quantity

Account

Reason

Submitted

Automated audit logging enabled.

Rule Check

Automated audit logging enabled.

Manager Review

Automated audit logging enabled.

Compliance Review

Automated audit logging enabled.

Approved

Automated audit logging enabled.

Pre-clearance required due to role-based risk tier

No issuer blackout overlap detected for selected trade date

Household account disclosures verified

Position concentration exceeds soft threshold, manager review required

If standard policy blocks the trade, employees can request an exception with documented rationale and supporting evidence.

Request ID	Employee	Symbol	Trade Type	Quantity	Account	Stage	Status
PCR-9008	Sophia Carter	MSFT	Buy	1,500	Fidelity 4481	Compliance Review	Pending
PCR-9007	Liam Johnson	SCHW	Sell	600	Charles Schwab 9012	Manager Review	Pending
PCR-9006	Noah Williams	TSLA	Buy	250	E*TRADE 2248	Rule Check	Escalated
PCR-9005	Emma Davis	AAPL	Sell	120	Morgan Stanley 8813	Approved	Approved