Symphony PIT · SDD · SEBI Compliance

Symphony Compliance Automation — PIT & SDD

Automates 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.

UPSI Declaration & SDD Trade Pre-Clearance Automated Trade Reporting Defaulter Management Periodic DisclosuresCAS ReconciliationAggregator IntegrationConfigurable NotificationsEmail based Approvals

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Purpose-built for SEBI's Prohibition of Insider Trading & SDD requirements

Product Overview

The Challenge & The Solution

The Challenge

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

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,
built into one platform.

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.

Defaulter & Exception Management

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

Periodic Disclosures & Annexure Submissions

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

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 organisation.

Compliance Officers

Complete oversight of UPSI registers and trade approvals
Real-time dashboards for designated persons and exceptions
Automated defaulter identification and reporting workflows

Investment Managers

Seamless trade pre-clearance through a mobile-friendly interface
Instant notification on approval, rejection, and trading window status
Personal holding reconciliation against declared transactions

Executive Leadership

Board-level compliance dashboards and audit-ready reports
Demonstrable compliance posture for SEBI inspections
Zero-manual-effort periodic disclosure submission

One Version. Every Client. Always.

Symphony PIT runs on a single,
unified codebase across
all implementations.

While other compliance platforms accumulate years of per-client customisations, Symphony PIT is deployed as one version across every AMC, broker, listed entity, and PMS provider in our client base. That architectural discipline is not a constraint — it is the source of everything that makes Symphony more stable, more responsive, and more trustworthy than the alternative.

When SEBI issues a circular, we ship one update.

It reaches every client simultaneously — no staggered rollouts, no per-client regression testing, no version drift. Your compliance doesn’t depend on where you are in our release queue.

A bug found by one client is fixed for all customers.

With a shared codebase, every edge case surfaced by any client strengthens the platform for everyone. The more institutions we serve, the more robust the product becomes — not more fragmented.

What you see in the demo is what runs in production.

No gap between the reference environment and your live deployment. No “this works differently in your configuration” conversations after go-live. Every client runs the same platform.

Architecture Comparison

What single-version architecture
means for your compliance team.

Most compliance platforms were built to win deals through customisation. That model creates technical debt that compounds every year — and the compliance team pays the price when regulations change.

What it means for you	Symphony PIT Single unified codebase	Per-client customised platforms Typical market alternative
SEBI regulation update	One update ships to every client on the same day	Staggered, per-client deployment — weeks or months of variation
Bug fix turnaround	Fixed once. Resolved for all clients simultaneously	Fixed per client — may recur in others running different versions
Upgrade risk	None — you are always on the latest version	Per-client regression testing required for every release
Demo vs production	Identical — what you see is exactly what you get	Often diverges based on client-specific configuration
Product stability over time	Improves with every new client — more edge cases found and fixed	Fragments with every customisation — more code paths to maintain
New feature availability	Every client gets every new feature on release day	Feature availability varies by client version and customisation layer
Compliance posture during audit	Always on current version — full traceability from day one	Version history and audit trail may differ across deployments
Security patching after VAPT	Remediation ships to all clients simultaneously — zero exposure window	Per-client patch schedule — your fix priority depends on contract tier and vendor bandwidth

The compounding benefit for your organisation.

Regulatory Agility Without the Waiting

When SEBI issues an amendment, your platform is updated before your compliance team even reads the circular. No escalation to vendor support. No asking where you are in the release schedule. No exposure window while you wait for your version to be patched.

A Platform That Gets Stronger Every Quarter

Every edge case reported by any of our clients — an unusual UPSI structure, a complex contra-trade scenario, a multi-entity holding disclosure — is tested, resolved, and available to the entire client base. Your platform benefits from compliance scenarios you have never even encountered.

Implementation Confidence from Day One

The platform your team evaluates during the demo is the exact platform that goes live. The workflows, the approval chains, the reporting outputs — nothing changes between evaluation and production. Onboarding is faster because there is no configuration drift to account for.

VAPT & Security Posture

Security That Gets Stronger
With Every Client.

Most enterprise software vendors conduct VAPT once a year — or once before a large client insists on it. Results are filed, some fixes applied, and the cycle resets. Symphony PIT operates differently — because our single unified codebase makes it possible to operate differently.

With one version running across all institutions, every security assessment, every penetration test, and every remediation applies universally. There is no patched version for Client A and an unpatched version still running for Client B. There is no fragmented security posture where a vulnerability disclosed to one client hasn’t yet been fixed for another.

A vulnerability found and fixed on Symphony PIT is fixed for every institution running it — simultaneously. There is no patched version and an unpatched version. There is one version, and it is always current.

VAPT is conducted on the actual production system — not a sanitised demo environment

Because every client runs the same code, our security assessments test what is genuinely live. There is no separate client-specific configuration that introduces new attack surface after the test is done. What gets tested is exactly what your data runs on.

Remediations ship to all clients simultaneously — with no exceptions

When a vulnerability is identified and remediated, the fix is deployed once. It reaches every institution on the platform at the same time. No client is left exposed while waiting for their bespoke version to be patched.

The test surface compounds across clients, not just within one

With all customers running the same platform, edge cases in authentication flows, data isolation, role-based access, and API security are exercised continuously. Real-world usage patterns from AMCs, brokers, listed entities, and banks surface security considerations that a single-client test would never find.

Compliance with SEBI’s Cybersecurity Framework (CSCRF) is uniform across the platform

SEBI’s Cybersecurity and Cyber Resilience Framework requires periodic VAPT, vulnerability management, and patch management with defined timelines. Symphony’s architecture means our compliance with CSCRF-mandated security controls is verifiable, consistent, and demonstrable — not a patchwork of per-client attestations.

What this means for your institution

When your IT security team or internal auditor asks “when was the last VAPT conducted and what was remediated?” — the answer covers your deployment completely. You are not dependent on your compliance software vendor’s willingness to prioritise your specific version. You are not waiting in a queue behind larger clients whose custom implementations get patched first. Your security posture on Symphony PIT is the security posture of the entire Symphony PIT platform. When we harden the system, everyone benefits.

Symphony Compliance Automation — PIT & SDD

Purpose-built for SEBI's Prohibition of Insider Trading & SDD requirements

The Challenge & The Solution

Everything you need,built into one platform.

Symphony serves every stakeholderin your organisation.

Symphony PIT runs on a single,unified codebase acrossall implementations.