Pre-clearance workflow
Capture the instrument, transaction and rationale, apply configurable checks and route the decision to an authorised reviewer.
PERSONAL ACCOUNT DEALING
Faster employee decisions. Stronger oversight.
Digitise the full personal-dealing lifecycle—from a request or holding through screening, approval, reconciliation and evidence.
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Designed for measurable control.
Regulenza gives employees a clear request journey and gives compliance teams the rules, exceptions and audit history needed to supervise activity efficiently.
- Reduce manual email approvals
- Identify restricted or prohibited investments earlier
- Reconcile employee activity against broker data
Restrictions and holdings
Import prohibited and restricted instruments, screen requests automatically and maintain a current holdings record.
Broker Connection Hub
Govern manual uploads and configurable automated feeds. Each connection depends on the broker’s supported specification, credentials, access and successful customer-specific testing; Regulenza does not claim a universal or certified broker format.
Defensible audit trail
Preserve requests, checks, approvals, rationale, exceptions and follow-up actions in chronological order.
SEE IT IN YOUR OPERATING MODEL
Focus the demonstration on your priorities.
Tell us about your organisation, regulatory environment and desired outcomes. We’ll shape the session around the workflows that matter to you.
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