Sorry, complete newbie here. Due to my (finance) employers compliancy rules, share trading is a bit of a headache, although I still plan on doing it.

One stipulation they have have, post trade completion, is to submit a copy of the contract note. As I don’t even want to risk a small trade without following the rules could anyone please confirm if I get anything like this or something that can be used as proof?

I suspect a screenshot of my portfolio won’t fly!


You get a contract note for every transaction. Not downloadable though unfortunately.

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Have you checked if there’s a minimum trigger. The rule normally exists to avoid conflict of interest.

In many cases as long as you buy less than 1% of total shares you don’t have to disclose.

Which means you’ll be fine unless you invest in extremely small companies or extremely large sums

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Thank you Seb, good to know. I will take it up with the team to see what they will accept. Worse case a screenshot of the note will be enough as it will contain the relevant details.

Thanks for the reply, unfortunately in the ‘do not need to disclose’ section of our policy it’s pretty watertight. I’m okay to buy in funds where I have no control over the individual shares etc. There are a few other exceptions but nothing as blanket as you mentioned. It’s a shame as i wanted to invest smallish amounts across a variety of companies. I’m even restricted to 20 transactions a month with a potential 2 day approval wait… no chance of me day trading!

I will question them further to see what other options I have, annoyingly my role has nothing to do with anything that would be of use but it’s a blanket policy for everyone.

Thanks again for the reply

Dumbest terms I ever heard… oh well good luck !

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Yeah, it’s actually quite common in the financial industry. I’ve met a bunch of people with these clauses. They all invest in property :smiley:

Good luck Robbie.

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I know… I regret even looking into to doing it the right way. I was thinking of just trading and hoping not to get caught… Still it’s not worth risking my job over and any potential fines etc… just a mega pain in the a$$

im in finance, and I’ve got the 1% rule :stuck_out_tongue:

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Thanks Seb, brought a place not long ago and the 20k I have spare (perfect for ISA) doesn’t go too far in the SE UK in the property market!

My only real option is to identify a portfolio of companies I want to sit on long term and see what it looks like 6-12months down the line… anythings got to be better than it sitting in a bank account! Am aware I could go negative

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I had this at my last job, all trades required pre-approval and then the contract note had to be provided after. Screenshots from Freetrade were sufficient.

Very annoying with all the admin - but I found it made me research stocks properly, rather than just buying everything.


You’re right Lucas, has certainly made me look more deeply into the companies I’m investing in. Looking at long term company health rather than short term highs.

Good to know about the screenshots being accepted, thanks. Can’t see why they wouldn’t as it contains all the relevant info. Thanks and best of luck with your investments.

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Couldn’t a partner or family member open an account and you could maybe lend them the funds too invest :thinking:

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Hi Adam
I could do and have people I fully trust but again, that’s against the compliancy rules. If I was to go down that route I may as well just trade myself and not declare it.

Not to say your idea hadn’t crossed my mind!
Thanks for reply and suggestion.

I hadn’t considered the need for recording the contract node. It does make a good suggestion though, perhaps they should be downloadable? E.g a download option on the contract not it’s self to download a pdf of it?

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Would be a handy feature and wouldn’t be hard to implement, like you say in pdf format. Probably not much call for it so I can imagine FT are working in dozens of other more important features/getting stocks added etc. All going well the screenshot will be enough