Monitor client & employee trades with confidence.

Track personal trading activity, enforce your Code of Ethics, and meet SEC Rule 204A-1—all from one intuitive dashboard.

Monitor client & employee trades with confidence.

Track personal trading activity, enforce your Code of Ethics, and meet SEC Rule 204A-1—all from one intuitive dashboard.

Built for today’s compliance teams.

Automated Reporting

Submit and review initial, annual, and quarterly reports with ease.

Risk Detection

Identify front-running and restricted trades before they become issues.

Code of Ethics Enforcement

Ensure pre-clearance, audit trails, and policy adherence are built in.

Built for today’s compliance teams.

Automated Reporting

Submit and review initial, annual, and quarterly reports with ease.

Risk Detection

Identify front-running and restricted trades before they become issues.

Code of Ethics Enforcement

Ensure pre-clearance, audit trails, and policy adherence are built in.

Built for today’s compliance teams.

Automated Reporting

Submit and review initial, annual, and quarterly reports with ease.

Risk Detection

Identify front-running and restricted trades before they become issues.

Code of Ethics Enforcement

Ensure pre-clearance, audit trails, and policy adherence are built in.

Your firm’s trading oversight—at a glance.

Everything you need to monitor personal trading activity—organized, actionable, and audit-ready.

  • Recent trade alerts
  • Pending pre-clearance requests
  • Compliance status indicators
  • “Access person” reporting checklist

Your firm’s trading oversight—at a glance.

Everything you need to monitor personal trading activity—organized, actionable, and audit-ready.

  • Recent trade alerts
  • Pending pre-clearance requests
  • Compliance status indicators
  • “Access person” reporting checklist

Designed to scale with you.

Designed to scale with you.

Integrates with a growing number of custodians and aggregators.
Customizable trade rules for both buy & sell transactions.
Centralized employee access

What you’re responsible for under Rule 204A-1.

  • Initial and Annual Holdings Reports

  • Quarterly Transaction Reports

    • Pre-Clearance Requirements

    • Tracking Blackout Periods & Restricted Lists

      Smartria's Trade Monitoring capabilities support these and more!

      Reduce compliance headaches. Increase oversight confidence.

      See how Smartria helps you automate Rule 204A-1 and strengthen your compliance culture.
      Book a Demo