Trade Surveillance with Actionable Results
Trade Surveillance & Global Compliance
Effective trade surveillance needs to be effective against the many activities targeted by SEC Rules, FINRA Rules, European mandates, liquidity rules and global best execution oversight. Ever-changing trading methods and the latest technical advances present companies with increased compliance burdens and risk management challenges.
Our trade surveillance software products offer comprehensive and versatile features that allow asset owners, broker-dealers, investment advisors, and exchanges to comply with various data-driven regulations while ensuring ongoing monitoring capabilities.
Trade Surveillance
Best Execution Oversight
European Mandates
Our comprehensive trade surveillance platform is designed to protect your firm and your own reputation from a long list of potential liabilities or compliance breaches. Compliance+ offers the transparency you need to ensure accurate and compliant executions. We also offer SEC Rule 605/606 and FINRA reporting services.
With hundreds of measures and a custom report builder, we offer a full range of global oversight analysis for your transaction or portfolio landscape. You can also estimate daily position liquidity and calculate your portfolio data for the N-PORT file upload with our Liquidity+ tool for SEC Rule 22e-4 reporting requirements.
Compliance+ trade surveillance is just the tool you've been looking for to help you and your company with trade compliance and peace-of-mind. Watch the video to understand why.
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Working with Abel Noser Solutions
There are a number of ways a company can work with us to experience our best-in-class products and services:
- Direct Clients - Direct clients receive products and industry-leading services directly from Abel Noser Solutions.
- Strategic Partners - We have also developed a network of partners who we work closely with to ultimately deliver our products and services.
- Distributor - In a typical distributor partnership, Abel Noser Solutions operates as a wholesaler, delivering TCA services through a reseller to its clients. Resellers, usually prime brokers, brokers, correspondent clearing firms, and custody clients, pursue opportunities with their own sales forces using Abel Noser TCA products that can be "white-labeled" or re-branded.
- Referral - In a referral relationship, partners such as brokers and consultants can actively sell our services to their clients in return for revenue sharing with Abel Noser Solutions.
Please contact us at info@abelnoser.com to learn more.
Request a Free Surveillance Trial
Click below to learn how our powerful end-to-end trading and transaction surveillance platform can provide transparency and support your compliance mandates. We can set you up with a no-cost trial using your own trade data ...
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