Personal Trading Vendor - Kentucky Public Pensions Authority

The Kentucky Public Pensions Authority is issuing a Request for Information for a Personal Trading Vendor SaaS platform with RFI responses due November 20, 2026 by 3:30 PM ET. Written questions are due November 3, 2026 by 4:00 PM ET, with KPPA providing responses by November 13, 2026.

The platform must monitor employee and trustee compliance with personal trading policies across three retirement systems and a health insurance trust. Required capabilities include electronic preclearance of personal trades, post-trade monitoring, daily activity updates, automated notifications, case management for policy violations, customizable rule-based restrictions, pre-scheduled and ad hoc attestations, and 24/7 accessibility with support. The platform must support manual document uploads, direct data feeds from registered broker dealers and investment advisors, and maintain connectivity with major brokerage firms including Charles Schwab, Fidelity, Goldman Sachs, Merrill Lynch, and Vanguard.

All bidders must be registered in the Kentucky Vendor Self Service (VSS) system prior to submission. RFI responses must be submitted electronically through the Commonwealth's eProcurement system. Respondents must include firm information, qualifications and experience with government or public-sector entities, a detailed solution overview addressing platform capabilities and features, and estimated cost information including pricing models, implementation costs, and ongoing maintenance and support expenses.

This RFI is preliminary in nature and does not constitute a commitment to issue a Request for Proposal, award a contract, or reimburse vendor preparation costs. Vendors are prohibited from submitting quotes or bids in response to this RFI. After contract award, all submitted proposal data becomes public record subject to the Kentucky Open Records Act, and the Commonwealth retains the right to use all system ideas or adaptations contained in any response. Contact Procurement Branch Manager Jay Dutta at (502) 696-8842 or jayr.dutta@kyret.ky.gov for additional information.