Global Compliance Services

Providing Clarity and Actionable Results

Compliance Solutions

Compliance officers and investment managers today face unprecedented challenges relating to SEC, FINRA and European mandates 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 and 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

Liquidity Risk Management

European Mandates

Our comprehensive compliance 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.

From custom designing a daily input process for your portfolio holdings and estimating your daily position liquidity to calculating your portfolio data for the N-PORT file upload, our Liquidity+ tool can handle your SEC Rule 22e-4 reporting requirements.

We have built a multi-faceted regulatory offering for funds that fall under EU MiFID II and PRIIPs disclosure requirements. From proprietary best execution reporting features to automated delivery of transaction cost summaries for your 'KID' inputs, we can provide the extracts you need.


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 to learn more.

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