Symphony Compliance Automation

Symphony Compliance Automation is a next-generation compliance platform designed to help listed entities, mutual funds, intermediaries, and group companies seamlessly comply with SEBI's Prohibition of Insider Trading (PIT) and Structured Digital Database (SDD) regulations. Built on the latest technology stack, Symphony automates compliance workflows, enforces accountability, and ensures readiness for audit or regulatory inspection — all in one unified platform.

• Insider & Connected Person Registry
• UPSI Creation & Access Logs
• Digital Pre-Clearance & Disclosures
• Regulatory-Ready SDD

Product Overview

Simplifying SEBI
Compliance

The Challenge

Faced by Compliance Teams

• Manual Email-Driven Processes
• Lack of a Centralized Insider Database
• Difficulty in Tracking UPSI Access
• Limited Visibility into Trading Activity
• Time-Consuming Reporting & Certification
• Upcoming SDD Requirements

The Solution

How Symphony Solves These Problems

• Automated Pre-Clearance & Disclosure Workflows
• Centralized Insider & Connected Person Registry
• UPSI Management & Access Logging
• Integrated Trading & Broker Feed Reconciliation
• Regulatory-Ready Structured Digital Database (SDD)
• Automated Alerts & Reporting

Powerful Features

Everything you need to stay compliant
with SEBI PIT and SDD regulations

Automated Pre-Clearance

Streamlined pre-clearance and disclosure workflows with automated validation and approval processes

Insider Registry

Centralized database for insiders and connected persons with comprehensive relationship mapping

UPSI Management

Complete UPSI (Unpublished Price Sensitive Information) tracking and access logging

Trading Reconciliation

Integrated trading and broker feed reconciliation to ensure complete audit trail

SDD Ready Database

Regulatory-ready Structured Digital Database (SDD) compliant with SEBI requirements

Smart Alerts

Automated alerts and reporting for violations, pending approvals, and compliance events

Governance Framework

Strong governance with role-based access, audit trails, and comprehensive compliance tracking

Modern Technology

Built on latest web, API, and event-driven architectures for seamless integration

Listed Companies

Complete PIT compliance for managing insider trading and disclosures

• Automated pre-clearance workflows
• Complete insider registry management
• Real-time trading monitoring and alerts

Mutual Funds & Intermediaries

Streamline compliance operations across multiple funds

• Multi-fund compliance management
• Automated disclosure processes
• SDD-ready reporting infrastructure

Compliance Officers

Complete visibility and control over all compliance activities with comprehensive audit trails

• Real-time compliance dashboards
• Automated violation alerts
• Comprehensive audit logs

Group Companies

Manage compliance across multiple entities with unified policies and centralized oversight

• Multi-entity support
• Centralized policy management
• Cross-entity reporting

Frequently Asked Questions

Got questions? we've
got answers!

1. Is Symphony cloud-based?

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Yes, it offers secure, role-based cloud access.

2. Can Symphony integrate with ERP/HRMS/other systems?

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Yes, Symphony provides robust API integration capabilities to connect with your existing ERP, HRMS, and other enterprise systems for seamless data flow and automation.

3. Can workflows be customized?

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Absolutely. Symphony allows you to customize workflows, approval hierarchies, and compliance policies to match your organization's specific requirements and governance structure.

4. Does it support multi-entity companies?

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Yes, Symphony fully supports multi-entity structures with centralized policy management and cross-entity reporting capabilities, making it ideal for group companies.

5. What is the implementation time?

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Implementation typically takes 4-8 weeks depending on your organization's size and complexity. This includes setup, configuration, data migration, user training, and go-live support.