Global Compliance Services
Providing Clarity with Actionable Results
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.
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 606 reporting services.
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.
Compliance+ 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.
There are a number of ways a company can work with us to experience our best-in-class products and services:
Please contact us at email@example.com to learn more.
Request a Free Demo 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 ...