Description
Kentucky Public Pensions Authority (KPPA) is seeking information from qualified vendors that can provide a cloud‑based Software‑as‑a‑Service platform to monitor employee and trustee compliance with personal trading policies. The platform must support manual document uploads, direct data feeds from major brokerages, pre‑clearance and post‑trade monitoring, configurable rule‑based restrictions, certification workflows, reporting dashboards, and 24/7 access and support. KPPA also wants vendors who can offer training on insider‑trading compliance. This RFI is purely informational; no bids or quotes are to be submitted. Responses are due electronically by 3:30 PM ET on November 20 2026.
• SaaS solution for personal‑trading compliance monitoring
• Must integrate with major brokerage feeds (e.g., Charles Schwab, Fidelity, Vanguard)
• Features: pre‑clearance, post‑trade surveillance, alerts, case management, reporting, SharePoint integration, 24/7 support
• Required vendor qualifications: experience with government or large public‑sector implementations, references, ownership disclosure, litigation status
• Cost information requested (pricing model, implementation, ongoing maintenance) for future RFP development
• All questions must be submitted in writing by November 3 2026; answers will be posted by November 13 2026.