Symphony Compliance Automation — PIT & SDD

Symphony Compliance Automation is Teravista's purpose-built solution for the Prohibition of Insider Trading (PIT) and Structured Digital Database (SDD) requirements under SEBI regulations — automating employee declarations, trade pre-clearance, UPSI management, and periodic disclosures across the entire organization. Powered by the FireQube engine, it replaces fragmented manual workflows with a unified, policy-driven platform that gives compliance teams complete control and real-time visibility.

• UPSI Declaration & Structured Digital Database
• Trade Request & Pre-Clearance Workflow
• Automated & Manual Trade Reporting
• Defaulter Management & Periodic Disclosures

Product Overview

Transforming Insider Trading
Compliance

The Challenge

What compliance officers face today

• Manual tracking of UPSI declarations across verticals
• Excel-based trade registers with no audit trail
• No automated greylisting or trading window enforcement
• Delayed or missed periodic disclosures by designated persons
• Fragmented data across HRMS, Front Office, and Broker systems
• High risk of regulatory penalties due to defaulter mismanagement

The Solution

How Symphony transforms compliance operations

• Automated UPSI register with shared & received declarations
• Policy-driven pre-clearance and approval workflow engine
• Automated greylisting and trading window management
• Seamless feed integration with Registrar, Broker & HRMS
• Automated trade reporting with exception and defaulter queues
• Full audit trail with role-based access across all profiles

Powerful Features

Everything you need to manage
PIT compliance with confidence

UPSI Declaration & Register

Manage shared and received UPSI declarations with a structured digital register, periodic submission workflows, and stock exchange reporting — fully SEBI-compliant.

Trade Pre-Clearance Workflow

Configurable multi-level approval workflows for transaction requests across Equity, Mutual Fund, and Debt — with automated approval, rejection, and notification triggers.

Grey List & Trading Window Management

Automated generation of vertical-wise grey lists with configurable blackout periods, threshold setup, and scheme/scrip-level restriction management.

Automated & Manual Trade Reporting

Automated trade feed ingestion from Broker and Aggregator platforms via FireQube Connector, plus manual reporting options — with daily transaction reporting to management.

Defaulter & Exception Management

Automated defaulter identification with justification workflows, PAN-level blocking list generation for Registrar platforms, and compliance team dashboards for exception resolution.

Periodic Disclosures & Annexure Submissions

Structured periodic disclosure workflows for designated persons, with NSDL, CDSL, and CAMS CAS integration for holding reconciliation and automated annexure generation.

Data Integration & Feed Connectivity

Seamless integration with HRMS, Active Directory, NSE/BSE Security Master, Front Office System, Registrar/RTA platforms, and Broker feeds via DB Link, API, or File Feed.

Modern Technology Stack

Three-tier architecture — ReactJS frontend, .NET Core API, and MS SQL Server — deployable on-premise or cloud with VPN-secured remote access and Active Directory integration.

Built for Your Team

Symphony serves every stakeholder in your compliance and investment management organization

Compliance Officers

Gain complete oversight of UPSI registers, trade approvals, defaulter lists, and periodic submissions — all from one unified dashboard.

• Policy setup and workflow configuration
• Approve trade requests and manage grey lists
• Monitor data integrations and manage exceptions

Designated Persons & Employees

Submit trade requests, declare UPSI, report transactions, and complete periodic disclosures — all through a simple browser-based interface.

• Initial holding upload and UPSI declarations
• Trade requests for MF, Equity, and Debt
• Periodic submissions and defaulter justification

Fund Managers

Review and approve trade requests within your vertical with full visibility into UPSI status, greylists, and employee holdings.

• Approve trade requests within vertical scope
• Access employee holdings and trading status
• Skin-in-the-Game redemption request review

System Administrators

Manage users, configure roles and rights, monitor integration status, and ensure the platform is operating at full compliance readiness.

• Application setup and user management
• Roles & rights configuration
• Integration status monitoring and password management

Frequently Asked Questions

Got questions? we've
got answers!

1. Is Symphony PIT cloud-based or on-premise?

↑ ↓

Symphony supports both on-premise and cloud deployment within your internal network, with VPN-secured access for remote users. The three-tier architecture (ReactJS, .NET Core, MS SQL Server) runs on Windows Server 2019+ and can be configured for UAT and production environments.

2. Which systems can Symphony PIT integrate with?

↑ ↓

Symphony integrates with HRMS (employee and dependent data), Active Directory, NSE/BSE Security Master, Front Office Systems, Registrar/RTA platforms (NSDL, CDSL, CAMS), Broker feeds, and Aggregator platforms — via DB Link, API, File Feed, or SFTP.

3. Can approval workflows be customized per organization?

↑ ↓

Yes. Symphony s workflow engine allows compliance teams to configure multi-level approval chains, assign vertical-wise compliance officers, set automated approval or rejection rules based on policy parameters, and manage on-behalf request provisioning for designated persons.

4. Does it support both SDD and PIT module requirements?

↑ ↓

Yes. Symphony covers SDD modules (UPSI declarations, grey/restricted list setup, trading window management, UPSI registers & periodic submission, registrar integration & stock exchange reporting) as well as full PIT modules (initial declarations, trade requests, manual & automated reporting, view holdings, defaulter management, periodic submissions, on-behalf requests, and NSDL/CDSL/CAMS CAS integration).

5. How does defaulter management work?

↑ ↓

Symphony automatically identifies defaulters based on trade data and compliance policy rules. The system generates a defaulter list, routes it to compliance officers for review, allows employees to submit justifications, and produces the PAN restriction list for blocking in schemes — all with full audit trail and email notifications throughout the process.