AP Compliance

“Edaa” Authorized Person Compliance service (AP Compliance), is an on-line application to monitor employee activities in the Saudi Stock Exchange electronically through the Tadawulaty portal.

  • Principal objective of the service: enables compliance officers to monitor and review their employees’ activities in the Saudi Stock Exchange and mitigate the risks associated with individual trading.
  • The service is a reporting tool that supports Authorized Persons to comply with the Authorized Persons Regulations which pointed that the Employees of an Authorized Person (“AP”) must disclose to the compliance officer all transactions in securities transacted at an AP other than his/her own". “Edaa” has developed a monitoring platform for this service where APs can automatically extract data and reports for employees and monitor their trading activity, consequently allowing APs to ensure adequate implementation of the relevant rules and regulations.
  • Review all portfolios of employees at all brokerage houses.
  • Assists the implementation of company's personal trading policies.
  • A cost-effective solution to enable companies to monitor their employees' transactions

This service is provided to Member with fully automated risk reduction tool, and it also supports Member to follow the CMA regulatory compliance.

For more information, please contact our Corporate Services team on email: cs@edaa.com.sa