Essential transparency with best-in-class multi-asset trade surveillance

Trade Surveillance

Risk officers, investment managers and brokers face unprecedented challenges relating to SEC, FINRA and global 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+ best execution multi-asset reporting software offers a comprehensive and versatile set of features for equities and fixed income that allows broker-dealers, investment advisors, and retail platforms to comply with data-driven regulations and the global trading landscape.

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

Our 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. Customized analysis and news-feed synergies can alert you to trades that need further investigation. 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.

Clarity Breeds Trust

Our Compliance+ software detects:

Insider Trading w/ News Feed Analysis
Markup/Mark Down
Wash Sales
Marking the Close
Commission Violations
Limit Up/Limit Down
Trades Outside Bid/Ask Spread
Circuit Breakers
Order Protection
Trading Halts
Unapproved Brokers
Highest Cost Trades
Borrowing & Delivery Requirements
Allocation Price Difference
Window Dressing
SEC 605/606
FINRA 3310 & 5320
+ other issues . . .

Buy Side Specific

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. In addition to execution transparency and typical rules noted, Compliance+ can also monitor:

  • Cross Trades
  • Window Dressing
  • Unapproved Brokers
  • Allocation Price Difference
  • Trading in Illiquid Securities
  • Trading in Low Priced Securities
  • Wash Trades

Sell Side Specific

Our software gives you the ability to monitor securities trades with a high degree of transparency, and ensure accurate and compliant executions oversight. In addition to execution transparency and multi-asset rules noted, Compliance+ also can monitor:

  • Spoofing and Layering
  • Limit Up/Limit Down (Market Volatility)
  • Snap Quote (Latest Market Quotes)

Compliance+ Features

  • Centralized, web-based solution with over 1000 measures (90 measures specific to compliance and risk)
  • Easy-to-use multi-asset (global equities and fixed income) 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 (all major fixed income asset types covered)
  • Drill-down features to view orders and fills
  • Full best execution reporting
  • SEC and FINRA reporting services
  • 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


Why Abel Noser?

  • 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 37 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

Pricing Options

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+.