Employee Compliance Reporting

The law requires some employers to monitor certain financial transactions made by their employees. We offer a reporting service that can automate the compliance reporting of employees’ accounts, holdings and transactions. This supports both the employer and employee to manage the activity to assist with compliance requirements.

Once an employer has partnered with Fidelity for this service, employees can save time and effort by automating sharing statements and transactions with their employer keeping them informed of investment activity and helping to avoid conflicts of interest.

We have put together a client guide which provides full information along with step-by-step instructions on how to register for the service.

You will need to contact your employer’s compliance team to ask for the Fidelity ‘employer code’ before starting the process. 

It is worth noting that this service can also be used to provide manual duplicate trade confirmations to your accountant if you have one.

Employees need to turn off this service if/when they leave their employer.