ESSCom
(Employee Self Service Module for Compliance)
Software for Compliance on SEBI's PIT Regulations
Something about ESSCom

Concerned about complying with SEBI's new insider trading regulations and recent amendments?

How confident are you of your "Insider Trading Compliance System-in-place"?

The rising number of insider trading violations, as well as the thousands of crores in penalties levied by SEBI for non-compliance with Insider Trading Regulations, are driving companies to become more proactive and cautious in their Insider Trading procedures.

The SEBI's (PIT) Regulations, 2015 suggest that you should take a second look.

Dolphin launched largest selling web based solution ESSCom-"Employee Self Service Module for Compliance" on SEBI (PIT) Regulations.

ESSCom is a software for insider trading compliance which gives you an Automated solution to Centrally manage & track compliance related to Prohibition of Insider Trading. It helps the Compliance Officer to manage, track & comply on all compliances pertaining to SEBI Insider Trading Compliance. It also records UPSI in tamperproof Structured Digital Database with date and time stamp.The Compliance Officer can easily set up its Model Code of Conduct, announce opening and closing of trading windows, provide pre-clearance approvals based on prescribed limits over emails or from the system, capture trade details and also initial and periodic holdings of insiders. This helps the Compliance Officer to generate all reports and relevant forms in single click.
ESSCom is the best Insider Trading Compliance system which not only provides you standard features like UPSI Deceleration in Structured Digital Database, System Driven Disclosure, Disclosures like Initial, Continual & Periodical, Pre-Clearance request & approval/rejection, the system is designed to be reconcile trade reporting with your BENPOS file to find Non-Compliance trades.
With our simple prohibition of insider trading solution, you can keep your compliance team informed and prevent the risk of market abuse. Using insider lists, keep track of which insiders have material and non-public information, and compare employee trades to high-impact market activity.
Some of the best features
Structured Digital Database
Tamperproof Structured Digital Database with data and time stamp
  • Recording of Name, PAN, EmailID and other requisite details of the persons who have shared UPSI and with whom UPSI has shared.

  • Details of the nature and purpose of UPSI shared and trailed of UPSI sharing.
Insider Trading Software
Web-based platform to Insider self-deceleration of forms/disclosures
  • Insider can login to the portal and declare his/her immediate relatives, Past Employers, Education Details, Materials Financial Relationship.

  • Insider can also place pre-clearance request and disclose his/her trade details, initial disclosure, continual disclosure and periodical disclosure.
Insider Trading Benpos Comparision
NSDL and CDSL BENPOS reconciliation with insider reporting
  • Operational users can import weekly benpose received from NSDL and CDSL and compare weekly holding balance with insider reporting.

  • An option to send intimation email to insiders for their mismatch in reporting as per latest benpos.
trading window closure
Trading Window Closure definition and Email alerts to all insiders
  • Application has option to define trade window closure and send intimation/alert email to all the insiders to inform about a period where trading is restricted.

  • Application has inbuilt validation engine to identify violation if any trade executed and reported in trade window closure period.
Sebi Regulation
User-Defined option to define of Model Code of Conduct
  • Define Pre-Clearance limit and validity period.

  • Define Contra-Trade period.

  • Define Continual Disclosure limit.

  • Define Periodical Disclosure frequency.
PIT Violation
Recording of all insider trading violations prescribed by SEBI
  • Application records contra-trade, continual disclosure late submission, traded in closure window, traded when possession of UPSI and traded without pre-clearance.

  • Operational users can record action taken again each violation such as issued warning letter, issued show-cause notice, etc.

  • Violation reporting as per SEBI, NSE and BSE formats.
Trade Pre-clearance
Pre-clearance Request, Approval/Rejection, and Confirmation
  • A complete pre-clearance cycle from pre-clearance request, pre-clearance validation, pre-clearance approval/rejection and trade confirmation against pre-clearance(execution/non execution).

  • Auto generation of continual disclosure against pre-clearance trade confirmation if it exceed threshold limit.

  • Manual or Auto pre-clearance approval mode.
System Driven Disclosure
System Driven Disclosure as per SEBI Regulation 7(2)
  • Operational users can import data like list of insiders, their immediate relatives, past employers and Education details.

  • An option to import Esop, FPO, Right issue allotment and company's stock rate.
Insider Trading Software
Automated and Manual Email alerts and notifications
  • Automated Email alerts and notification like violations, pre-clearance approval, trade confirmation reminders, trade window closure.

  • Manual Email alerts and non submission of initial, continual, periodic disclosures. Holding mismatch, Invalid trade rate, pre-clearance approval falls in trade window closure.
Prohibition of Insider Trading Reports
Comprehensive MIS, General and Exception reports in excel format
  • MIS reports such as List of Insiders and their declared information such as immediate relatives, past employers, education details, Material Financial Relation, Trade Details, etc.

  • General reports such as insider who have submitted their initial, continual, periodic disclose.

  • Exception reports such as insider who have not submitted their initial, continual, periodic disclose.
SEBI Compliance
Complete audit trails and logs for auditing and investigation
  • Application records all audit trails like activity events, Email events and SMS events.

  • Application maintains all error logs arises in functional operations.
Software for Prohibition of Insider Trading
Customizable Email templates, FAQ, Page-Footer, Annoucements
  • Flexible option to customize all email correspondence drafts, FAQs, Annoucements and Page Footers.

  • An option to upload documents such as Model code of conducts, User-guides, blank forms and disclosure in PDF format.
Insider Trading Violation
Bulk data import and export option in standard excel format
  • Operational users can import data like list of insiders, their immediate relatives, past employers and Education details.

  • An option to import Esop, FPO, Right issue allotment and company's stock rate.

  • All reports in excel format.
Tamperproof Structured Digital Database of UPSI
Data Encryption, Authentication, Autherization, Access Rights
  • AES-256 bits encryption in UPSI data.

  • Intergration with company's Single Sign-On (SSO) authentication.

  • Role-based access control allows access to content only to authorized users.

  • The application's administrators have tight control over the creation of new users.

  • Disallow concurrent login and automatic session timeout.
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Add-On Modules PIT Awareness, Exit Disclosure, Violation and SMS
  • An Awareness Module where QUIZ, Questionnaire and awareness video can be set.

  • A module where company can take insider's personal information like Address, Mobile No., Phone No. and EmailID at the time of separation from the organization.

  • An option to insider to report violation uncaught by Application due to incorrect/non reporting of details.

  • Application can be integrated with SMS gateway for sending alerts and notification via SMS.
Why you should choose ESSCom?
Our Clients
 150+ Clients in all domains 
 1000+ Business Users 
 20000+ Application Users 
Insider Trading Software application for bank
Banking
Insider Trading Software application for insurance company
Insurance
Insider Trading Software application for Finance company
Finance
Insider Trading Software application for IT company
IT
Insider Trading Software application for FMCG
FMCG
Insider Trading Software application for pharma
Pharma
Insider Trading Software application for automobiles
Automobiles
Insider Trading Software application for MNC
MNCs
Insider Trading Software application for company
Manufacturing
Insider Trading Software application for Investment
Investment
Insider Trading Software application for HealthCare
HealthCare
Insider Trading Software application for hotel industry
Hospitality
Request a Demo
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Contact for a Demo
contact for PIT software application Mr. Srinivasan S   :  +91-9892433059 / +91-9820303808
contact for SEBI PIT software application Mr. Rajan Tonape :  +91-9930125645 / +91-7977103176
contact for Prohibition of insider trading software application Dolphin Infotek (P) Ltd.
205, 2nd Floor, Damodar Niwas,
B-Cabin, Station Road, Shivaji Nagar,
Thane West – 400602
contact for Insider Trading software application 022-25403052 / 022-24313052 / +91-7021015072 / +91-7021090691
email for Insider Trading software application mumbai@dolphininfotek.co.in
application software for sebi insider trading www.dolphininfotek.co.in
FAQs
How much ESSCom software will cost?
  • Currently we have cloud model and on-premises model and add-on modules like Employee Awareness module, SMS Module, Only UPSI Module.
  • The pricing of software is determined by the model and module you desire to acquire. However, on the other hand, our pricing is the most competitive in the industry.
What is the infrastructure required to run the software?
Your usability determines the infrastructure.
  • The best aspect is that if this application is only going to be used by one person, you can install it on your local computer or laptop it means required no or minimal infrastructure.
  • For Multi-Users, application should be installed on a webserver and infrastructure with the following minimal setup should be in place.
    Microsoft’s Windows server 2016 or above (VM is supported) & MS-SQL Server 2014 or above (Express Edition is supported)
What is implementation timeline?
  • ESSCom is a Commercial-Off-the-Shelf product that can be installed in a day if the company's infrastructure team is ready with the infra setup, and it can be GO LIVE in 7 working days.
  • The availability of end users, the readiness of input files, communication/correspondence on application concerns and doubts, UAT, and any changes sought in the application should all be taken into account.
What and whom training will be provided for using ESSCom?
  • One-Time comprehensive training will be provided to business users (Compliance Team) on ESSCom functionality and its usage. Dolphin shall also provide standard user manuals of the ESSCom for easiness.
  • Existing trained user should train new team member. Charges may be applicable for repeatative training.
How do you help and support?
  • We provide online support over Email, Phone and remote applications like Teams, WebEx, Zoom, and Etc. under AMC.
What is covered under AMC?
  • A regular functional support (Not Operational), statutory changes and bug fixes and techinical assistance limited to ESSCom application.
Is ESSCom up to date on all of SEBI's recent regulatory amendment on prohibition of insider trading?
  • YES, we are commited to provide a up to date solution to all our users.
What safeguards do you have in place to ensure that Dolphin Infotek does not have access to my information?
  • We as Dolphin Infotek and any members of Dolphin Infotek do not maintain any direct access to the Application, Databases or/and Infrastructure.
Can ESSCom be integrated with Single Sign-On (SSO)?
  • ESSCom support Single Sign-On (SSO) with LDAP protocol in default. It can be integrated with different protocol with feasibility check on chargeable basis.
How will ESSCom DEMO be arranged and what will be the charges?
  • ESSCom DEMO will be arrange remotely over remote application such as Teams, WebEx, Zoom, and Etc. free of cost.
Our other Products
Want to implement system only for Structured Digital Database?
Don't worry, Dolphin has introduced ESSCom (SDD) module only for Structured Digital Database wherein company can maintain all its UPSI.
Some of the attractive features are :
Software for UPSI Tamperproof Structured Digital Database with date and time stamp.
Application for UPSI Definition of Nature of Unpublish Price Senstitive Information (UPSI).
Software for unpublished price sensitive information Capture name of the person/entity who has shared UPSI and with whom UPSI has been shared.
application for unpublished price sensitive information Capture PAN, Mobile No. and EmailID of the people who are in possession of UPSI.
Structured Digital Database Maintain the trails of UPSI flow from the sharer till the last Recipient.
UPSI Confedentiality Notice Option to send Confidentiality Notice to UPSI Recipient through Email.
UPSI SDD data Export UPSI and its logs in excel for MIS and audit reporting.
SEBI Amendment Reporting of Immediate Relatives, Past Employers, Education Details and Material Financial Relationship.
SEBI Regulation Various MIS, General and Exception Reports.   Download Brochure
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ESSCom - Insider Trading and Compliance Software SEBI Insider Trading Software Software for Insider Trading Insider Trading Compliance software Compliance Software Insider Trading Software Dolphin Infotek (P) Ltd. +91-9892433059 +91-9820303808 +91-9930125645 +91-7977103176