Compliance+ Trade Surveillance
Compliance+ is an exclusive, proprietary tool used to identify potential trade irregularities. Our patented software offers a comprehensive and a 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.
- 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.
Name: Peter Weiler