Watchlist & Restricted Lists
Insider lists, wall-crossing records, restricted/watch lists and personal account dealing pre-clearance
Active Insider Lists
14
Restricted Instruments
62
PAD Requests Pending
3
Wall-Crossings YTD
28
| List Type | Name / Instrument | Added | Cleared By | Status |
|---|---|---|---|---|
| Insider List | Solera Industrial Holdings — M&A Project Falcon | Sep 12, 2026 | Compliance Ops | Active |
| Restricted List | HRVN.L | Sep 18, 2026 | Head of Compliance | Active |
| Wall-Crossing | R. Delacroix — Project Falcon | Sep 12, 2026 | General Counsel | Active |
| PAD Pre-Clearance | T. Osei — AZUR.L purchase request | Sep 24, 2026 | — | Pending Clearance |
| Restricted List | NOVI.AS | Aug 30, 2026 | Head of Compliance | Removed |
About This Agent
Data on This Page
Insider lists, restricted instruments, wall-crossing records and personal account dealing (PAD) pre-clearance requests, each with an active/pending/removed status, who added it and who cleared it. Stat tiles cover active insider lists (14), restricted instruments (62), pending PAD requests, and wall-crossings recorded year-to-date (28).
What This Agent Does
Maintains the master insider list per deal and restricted list per instrument, feeding both directly into the Insider Trading Detection agent as reference data, tracks every wall-crossing with the individuals informed and under what confidentiality terms, and routes employee personal account dealing requests through pre-clearance against the current restricted list before execution.
Worked Examples
- R. Delacroix's wall-crossing onto Project Falcon on Sep 12 is what allowed the Insider Trading Detection agent to immediately flag related trading as high-risk rather than starting from a cold scan.
- T. Osei's PAD pre-clearance request to buy AZUR.L is pending — the instrument is currently unrestricted, but the request is held pending confirmation Osei has no wall-crossing exposure to it.
- NOVI.AS was removed from the restricted list on Aug 30 after the corporate event that triggered its addition was publicly announced and the information ceased to be material non-public information.