Trade Surveillance & Global Compliance

Trade surveillance with actionable results

Successful trade compliance 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

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. We also offer SEC Rule 605/606 and FINRA reporting services.

Learn More >


Best Execution Oversight

With hundreds of measures and a custom report builder, we offer a full range of best execution 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.

Learn More >


European Mandates

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.

Learn More >

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.

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.

Request a Free Surveillance Trial

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.