Catch personal trading exceptions the same day
Every morning, WebRun opens ComplySci across your clients, flags every new personal trading exception such as a pre clearance breach, restricted list violation, or holding period issue, drafts an Outlook request for explanation naming the employee and the rule breached, and alerts your compliance team in Slack the same day.
- No credit card
- Under $0.01 per run
- Cancel anytime
How do I catch personal trading exceptions across multiple RIA clients the same day they happen?
WebRun checks ComplySci every morning across your clients for new personal trading exceptions such as pre clearance breaches, restricted list violations, and holding period issues. It drafts an Outlook request for explanation naming the employee and the rule breached, then alerts your compliance team in Slack the same day, so exceptions get reviewed before they compound into a bigger problem.
- Trading exceptions get flagged and reviewed the same day, not weeks later
- Every exception has a drafted explanation request waiting for your officer
- Repeat offenders get grouped and surfaced automatically
Built for investment adviser compliance consultants · outsourced chief compliance officers · broker-dealer compliance officers · RIA compliance teams
What does WebRun do on every run?
The exact actions WebRun takes, in order - in plain language, so you can adjust anything.
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WebRun signs in and gets to work
Opens
app.comply.comin a real browser with your saved login - no setup, no API keys. -
1
ComplySci (COMPLY) - flag new personal trading exceptions
comply.com How to Automate ComplySci (COMPLY)
WebRun opens ComplySci (COMPLY) to flag new personal trading exceptions. - Open ComplySci and pull the personal trading surveillance queue for each client
- Filter to new exceptions: pre clearance breaches, restricted list violations, and holding period issues
- Capture the employee, client, security, and the rule breached for each exception
Done when Every new personal trading exception is listed with the employee, client, and rule breached.
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2
Outlook - draft a request for explanation
microsoft.com How to Automate Outlook
WebRun opens Outlook to draft a request for explanation. - Draft a request for explanation to the employee for each exception
- Reference the specific trade, date, and rule breached
- Leave every request as a draft. Never send it without your compliance officer's review
Done when A draft request for explanation is waiting in Outlook for every new exception.
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3
Slack - alert your compliance team
slack.com How to Automate Slack
WebRun opens Slack to alert your compliance team. - Post a same day alert of every new exception to your compliance team
- Group exceptions by client and flag repeat offenders
- Note which exceptions already have a draft request waiting in Outlook
Done when Your team has today's exception list in Slack before trading resumes tomorrow.
How is each run configured?
Secure by default
Connect once, stays signed in
WebRun signs in once and keeps each session in a persistent environment, so every run picks up right where it left off.
Every action is checked against this policy before it runs.
Questions, answered
Will it contact the employee without review?
No. WebRun only drafts the request for explanation in Outlook. Your compliance officer reviews and sends it, nothing goes to an employee automatically.
What counts as a personal trading exception?
Whatever ComplySci flags under your firm's rules: a trade made without pre clearance, a restricted list violation, or a holding period breach, read directly from the surveillance queue.
Does it stop the trade or take any action in a brokerage account?
No. WebRun never touches a brokerage account or blocks a trade. It only reads ComplySci's flagged exceptions and alerts your team so a human decides what happens next.
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