SW-121064 - USA (Kentucky) - Personal Trading Vendor Services - Deadline November 20,2026

(1) Vendor needs to provide personal trading vendor services that monitors employee and trustee compliance with personal trading policies.• Allow users to manually upload investment accounts documents, including, but not limited to, brokerages statements, statements from investment advisors, or other similar documents.• Alternatively, allow registered broker dealers, registered investment advisors, and other investment professionals designated by users to provide trading activity through a direct data feed or statements.• Maintenance of records, documents, and data to allow for all records, documents, and data for as long as the uses the platform.• Electronic preclearance of personal trades that are automatically reconciled against rule–based restrictions and holding periods.• Daily updates/refreshes, including personal trading activity and holdings.• Automated and instant notification of approval or denial of preclearance requests via email and the system.• Optional for automated third–party broker feeds that provide statements at brokerage account level.• Case management for policy rule triggers and alerts, including workflows for addressing trade policy violations and other multi–tiered notifications (e.g., notices to supervisor, compliance officer review, closure of review).• System for managing documents and files provided by users (e.g., trading confirmations, private investment documentation, or other required disclosures).(2) All question must be submitted no later than November 03, 2026.(3) A contract period will be for one year.