Best-in-Class Compliance Solutions

Trade Surveillance You Can Count On

Compliance+

Compliance officers and investment managers today face unprecedented challenges relating to SEC and FINRA regulations as regulatory reporting has become more complex. Ever-changing trading methods and the latest technical advances present companies with increased oversight burdens and compliance challenges. Our Compliance+ software product offers a comprehensive and versatile set of features that allows broker-dealers, investment advisors, and exchanges to comply with data-driven regulations and the global trading landscape.

Clarity Breeds Trust

Our Compliance+ software detects:

Insider Trading · Spoofing · Layering · Markup/Mark Down · Wash Sales · Marking the Close · Commission Violations · Limit Up/Limit Down · Circuit Breakers · ISOs · Order Protection · Trading Halts · Unapproved Brokers · Highest Cost Trades · Borrowing & Delivery Requirements · Rule 5320 · Allocation Price Difference · Window Dressing · 605/606  ·  + other issues . . .

 

  • BUY-SIDE
    BUY-SIDE
  • BUY-SIDE
    BUY-SIDE
    Get direct access to your market data; detect rogue traders, improper order handling, stock manipulations; track compliance, archiving all activity. Alert types include: Allocation Price Difference, Window Dressing, Potential Insider Trading, Markup/Mark Down, Wash Sales, Marking the Close, Cross Trades, Commission Violations, Highest Cost Trades, + others ...
    Read More
  • SELL-SIDE
    SELL-SIDE
  • SELL-SIDE
    SELL-SIDE
    Get peace-of mind from transparency into your trading practices. Daily access to hundreds of measures along with automatic alerts offer a fully customized surveillance experience. Alert types include: Rule 606 (Order Routing), Limit Up/Limit Down, Short Sale Circuit Breakers, Wash Sales, Cross Trades, Spoofing & Layering, Unapproved Brokers, Commission Violations, Highest Cost Trades, Intermarket Sweep Orders (ISOs), Trading Halts, Borrowing and Delivery Requirements, + others ...
    Read More
  • EXCHANGES
    EXCHANGES
  • EXCHANGES
    EXCHANGES
    Exchange administrators, regulators and technologists will appreciate the unique ability of Compliance+ to detect non-compliant trading activity with a precise level of detail unique in a single, easy to use, web-based platform. Alert types include: Rule 605 (Order Execution), Limit Up/Limit Down, Trading Halts, + many others ...
    Read More

Compliance+ provides essential transparency ensuring accurate and compliant executions.

Compliance+ is an exclusive tool used to identify potential trade irregularities. Our patented software provides dashboard functionality and reporting customization to match your unique work flow.

 

Abel Noser's analytics platform fills the information data gap from the period of time of order creation until the completion of each order. Drill-down features are available in graphical form to view orders and individual fills. Reviews can also be shared by all constituencies, and resolutions of exceptions are automatically memorialized.

 

Think of Compliance+ as an insurance policy in a difficult and complex regulatory environment.

 

REGULATORY REPORTING

 

Compliance+ is the industry’s most powerful tool to protect your firm and your own reputation from a long list of potential liabilities or compliance breaches.

 

  • Scalable platform to support regulatory evolution
  • Next day notifications and custom data sets
  • Alerts can be custom calibrated
  • MiFID II European regulatory equipped

 

TRADE SURVEILLANCE

 

Our software gives you the ability to monitor securities trades with a high degree of transparency, and ensure accurate and compliant executions.

 

  • Dashboard identifies manipulative or illegal trading activity and provides transactional context
  • Offers granular performance metrics for individual traders
  • Complex metrics reveal short sell, ISO and HFT activity

Compliance+ Features

  • Centralized, web-based solution with hundreds of measures
  • Easy-to-use reports dashboard to find exactly what you need when you need it
  • Large library of presentation quality compliance reports with customizable delivery options
  • No need to purchase market data to use tool
  • Drill-down features to view orders and fills
  • Public hosting of 605/606 reports
  • Reports are available on-demand, can be scheduled, or delivered by email
  • Threshold settings can be customized to avoid false positives or repetitive alerts
  • Resolution of alerts are automatically memorialized

View types of alerts (exceptions) to review

 

  • Pioneer and leading global provider of data collection and trade analysis
  • Extensive institutional securities knowledge
  • State-of-the-art technology architecture
  • Global coverage; largest available peer universe for comparison purposes (over 7.5 trillion in annual trade data)
  • Web-based reporting with customized delivery options
  • Bundled and tiered pricing options to fit your budgetary needs
  • Unparalleled client services team who work as an extension of your staff

 

 

Abel Noser offers numerous pricing options to fit with your company's operational budget.  Access is always firm-wide, so there is no need to purchase individual seat licenses.

 

Choices include paying by report or by usage activity.  In some cases, there may be an upfront technology set-up charge.  Amount of trading activity and frequency of report delivery can determine pricing.

 

Set up a call with our Service Team to learn more.

 

Set up an in-person demonstration trial to experience the value-add and peace of mind of Compliance+

View benchmark comparison data (right) on dashboard

Sort data sets using our powerful filters

Trade-Lenz and Drill-Thru features show order and fill details

Arrange a Trial

Ask a Question

ABEL NOSER
is with your team

each step of the way

Contact Us