Enterprise · Production

Novus Comply & Novus UPSI

Challenge

BFSI sector required a regulated pathway for trade pre-clearance and UPSI access governance without relying on spreadsheets.

Constraints

—Multiple SEBI/UPSI workflows with maker-checker stages
—Strict audit trail for approval history and access grants
—Existing enterprise datasets and downstream ECAS/BENPOS reconciliation
—Browser-based usage with no desktop client

Architecture

•FastAPI async services with PostgreSQL
•React admin/workflow frontends
•Dockerized services with Azure DevOps pipelines
•RBAC models separating trader/approver/compliance views
•Event-style audit logs for access grants and exceptions

Live Interactive RegTech SandboxSEBI PIT 2015 Compliant

Novus RegTech Simulation Engine

Test the two core workflows built at Novus: Automated Insider Trading Surveillance & Pre-Clearance, and the Structured Digital Database (SDD).

Quick Scenarios:

1. Designated Person (Applicant)

2. Target Security (Equity / Derivatives)

Transaction Action

Proposed Volume: 2,000 shares

50012,50025,000

Calculated Deal Value:

₹28,40,000 (₹28.40 Lakhs)

SEBI Threshold: ₹10L+

Mandatory Pre-Clearance Required

I affirm under oath that I hold no Unpublished Price Sensitive Information (UPSI) and will not execute contra-trades for 6 months.

2. Surveillance Engine Verdict

Select a Designated Person, target security, and proposed trade volume, then click Run Automated Surveillance Pipeline to evaluate compliance rules in real-time.

AUDIT TRAIL (STREAM)IMMUTABLE

[SYS-INIT] RegTech Surveillance Rules Engine v2.4 initialized.

[MONITOR] ECAS / BENPOS depository sync active — Last reconciled 04:00 IST.

[POLICY] SEBI PIT Regulations, 2015 & Model Code Schedule B loaded.

Production Architecture: FastAPI backend + PostgreSQL document/event store + RBAC Maker-Checker.

Synthetic Data · RegTech Enterprise Prototype

Key Decisions

•Chose explicit role gates over open ACLs to reduce reviewer mistakes
•Built normalized export formats instead of per-report PDF generators

Impact

Production platform for insider-trading governance and structured digital database for UPSI access at a live enterprise deployment.

Client confidential — enterprise deployment

Links

Interactive Sandbox(Pre-Clearance & SDD Prototype)

Stack

FastAPIReactPostgreSQLDockerAzure DevOps