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

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.