Compliance+ Trade Surveillance

Compliance+ is an exclusive, proprietary tool used to identify potential trade irregularities. Our patented software offers a comprehensive and versatile set of features that allows brokers-dealers, investment advisers, and exchanges to comply with trade surveillance best practices.

Whether you’re a buy-side, sell-side, or exchange risk officer, Compliance+ offers a set of features that enables you to monitor large securities trades with a high degree of transparency and comfort.

The tool allows you to identify and review potential trade exceptions such as spoofing and layering, wash sales, and other high-cost or non-compliant trading activity either in your own group, or at companies you’ve hired to manage your trading.

Features include:

  • Dashboard functionality and customization to match your work flow
  • Easy-to-use, front-end to quickly review daily trade alerts
  • Bespoke data extract options
  • Drill-down features to view orders and fills
  • Reviews can be shared by all constituencies
  • Resolutions of exceptions are automatically memorialized

You’re required to make difficult decisions every day that could affect both your company and your own future. Why not utilize Compliance+ for the assurance that makes a difference?

Contact us now to arrange for a presentation or set-up an in-house demo.

SEC Section 605 and 606 Reports

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