introspect compliance
TRANSCRIPT
Why Introspect?
Assists the Compliance Officer to put in place an effective system to comply with SEBI guidelines with respect to Prevention of Insider Trading
Offers foolproof monitoring system on the transactions of insiders. All the sensitive/confidential information of insiders recorded in a safe &
secured database. All information on the disclosures / transactions / pre-clearances / trade-window
closures, organized in one database for easy retrieval Facilitates Paperless Correspondence with the insiders using e-mail facility All date /days related triggers built-in into the system, thereby helping the
compliance officer to comply within the deadlines. Facilitates crosschecking of disclosures with the Share Holders data, ensuing
audit of disclosures in the process. With the “model code” embedded in the system, any beginer can operate the
software with little help from EDP department.
Take a tour
The forth-coming slides give you an in-sight on the product features.
These are only few of the screens giving you a bird’s eye-view of the functionality of the product.
Please refer the product brochure for a complete list of the product features.
Click & watch the bottom of the slide for more information on the screen.
Insider’s Information Table
The entire bible of the Insider is stored here
Insider Categorization
User-definable Categories, Departments, Divisions etc.,
Capture Initial & Continual Disclosures
Disclosures are validated as-per the “model code” during the capture-stage itself.
Capture/Generate Periodical Disclosures
The user can also auto-create periodic disclosures by connecting to RTA data.
The Pre-Clearance Module
Maneuver & Control the Trade Pre-clearances with necessary validations
Review & Confirm Requests
Browse through the requests & take action on the spot.
Manage Trade Closure Windows
One can maintain & email the details of trade-closure windows to all insiders
Query on Insider’s Transactions
A single-window query showing details of all transactions of the insider
The Code of Conduct
Embed the essence of the model-code-of-conduct framed by the company.
SAST Regulation
Generate SAST Disclosures as per Stock Exchange, by a click.
..and import the RTA’s data
Upload the shareholders’ data obtained from RTA (or) NSDL (or )CDSL in minutes.
And now…. The reports
Monitoring insiders’ transactions was never so simple …..
Reports for Stock Exchange
Generate disclosures as per SEBI prescribed format.
About the developers
Dolphin, is engaged in development of high-quality software for the capital markets.
Our expertise of more than a decade in capital markets has helped us develop solutions that answer the needs of today’s requirements specially designed for the Share department
Selected Client-list
Indian Oil Corporation Bharat Heavy Electricals Ltd (BHEL) Hindustan Petroleum Corporation Ltd (HPCL) Bharat Electronics Ltd (BEL) Chennai Petroleum Corporation Ltd (CPCL) State Bank of India Union Bank of India ING Vysya Bank UTI BankBajaj Hindusthan Radico Khaitan Ltd Apollo Tyres Ltd Nestle Ltd Geometric Software Ansal Group Bajaj Electricals IGATE Technologies HDFC Limited
Bajaj Sugars Lupin Pharmaceuticals Ltd Pfizer Ltd Smithkline Consumer HealthCare Glenmark Pharmaceuticals Hikal Ltd Tata Chemicals TAJ Jammu & Kashmir Bank Thermax Ltd Moser Baer India Ltd E-Serve International Ltd GTL Ltd Marico Industries Ltd Oriental Hotels Dwarikesh Sugars Jet Airways Punjab National Bank Zandu Pharmaceuticals
Other Products
COSAC – Comprehensive Share Transfer/Demat Accounting System
COFAC - Comprehensive Fixed Deposits Accounting System
emSOPS – Employee Stock Options Allotment System
DOCUGRAPH – Documents Scanning, Archiving & Retrieval System
Contact Us
Head Office40/24, ‘Amrapali’, Chittaranjan ParkNear Nehru PlaceNew Delhi – 110019Tel: 011-26422221, 9717282912, 9717282921Email: [email protected]: www.dolphininfotek.org_________________________________________________________________
Regional Office3rd Floor, Nav-Prabhat ChambersOff Ranade Road, Dadar WestMumbai – 400028Tel: 022-24313052, 022-24228659Email: [email protected]: www.dolphininfotek.org