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Insider Trading and Compliance Training

Open
State & Local

Contract Overview

Solicitation details, issuing organization, response deadlines, documents, and interested companies for this government contract opportunity.

General Info

Place of Performance

Frankfort, KY, USA

Set-Aside

NONE

Documents

This scope was carved out of RFI-100-2700000009-2.

The full solicitation package (3 documents), including the RFP, is on the prime solicitation, not on this scope.

View the prime solicitation

RFI-100-2700000009-2 | Personal Trading Vendor - Kentucky Public Pensions Authority

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Organization & Contact Information

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AgencyKentucky → Frankfort, Ky
ContactsNo contacts available
OfficeN/A
Organization / AgencyKentucky → Frankfort, Ky
Office AddressN/A
ContactsNo contact information available

Full Description

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Performs training courses for prime contractors on Kentucky Public Pensions Authority (KPPA) projects. Delivers educational courses and e-learning modules on the importance of personal trading compliance and the avoidance of the appearance of insider trading. Requires expertise in financial compliance and insider trading laws. Delivers completed training courses and certifications for KPPA employees and trustees.

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RFI-100-2700000009-2 | Personal Trading Vendor - Kentucky Public Pensions Authority
Solicitation # RFI-100-2700000009-2
The Kentucky Public Pensions Authority (KPPA) has issued a Request for Information (RFI-100-2700000009-2) to identify vendors capable of providing a vendor-hosted and supported Software as a Service (SaaS) platform. The primary objective of this system is to monitor and reconcile the personal trading activities of specific employees and trustees to detect potential violations of KPPA, KRS, and CERS Personal Trading Policies. Key technical requirements include electronic preclearance of trades reconciled against rule-based restrictions, post-trade rules testing via broker feeds, tracking of private investment activities, SharePoint integration, and 24/7 accessibility and support. Additionally, the KPPA is seeking vendors who can provide training courses on personal trading compliance and the avoidance of insider trading. This RFI is intended to assist the Commonwealth in deciding whether to draft a formal Request for Proposal (RFP). Interested vendors must submit their responses electronically via the eProcurement system by December 2, 2026, at 3:30 PM ET. Submissions must include a signed transmittal letter and a detailed response addressing the RFI questions, including the firm's ownership structure and a statement regarding any active lawsuits or premature client cancellations. While no fixed budget is provided, vendors are asked to provide general pricing models, estimated implementation costs, and ongoing maintenance fees. All responses are subject to the Kentucky Open Records Law and must adhere to reasonable data security standards to ensure the confidentiality and integrity of user information.
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RFI-100-2700000009-1 | Personal Trading Vendor - Kentucky Public Pensions Authority
Solicitation # RFI-100-2700000009-1
The Kentucky Public Pensions Authority (KPPA) issued Request for Information RFI-100-2700000009-1 on October 20, 2026, to identify qualified vendors capable of providing a platform to monitor and reconcile the personal trading activities of specific employees and trustees. The primary objective is to detect potential violations of KPPA, KRS, and CERS Personal Trading Policies through a combination of preclearance and post-trade monitoring. The required solution must be a vendor-hosted and supported Software as a Service (SaaS) platform featuring 24/7 accessibility and support, as well as a broad library of electronic brokerage feeds from major firms including Charles Schwab, Fidelity, Goldman Sachs, and Vanguard. Additionally, the platform must support scheduled and ad hoc certifications and attestations from users. Responses are due electronically via the Vendor Self Service portal by November 20, 2026, at 3:30 PM ET. Submissions must include a signed transmittal letter and a detailed response addressing firm information, ownership structure, and a legal statement regarding active lawsuits or cancelled services. As this is an RFI, it does not constitute a commitment to award a contract, and no formal evaluation factors have been established. All submitted documents are subject to the Kentucky Open Records Act and will be available for public inspection without redaction after any subsequent contract award. The primary point of contact for this solicitation is Jay Dutta, Procurement Branch Manager.
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