Best-in-Class Compliance Solutions

Trade Surveillance You Can Count On

Compliance+

Compliance officers, investment managers and brokers today face unprecedented challenges relating to SEC and FINRA 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+ software product offers a comprehensive and versatile set of features that allows broker-dealers, investment advisors, and exchanges to comply with data-driven regulations and the global trading landscape.

Clarity Breeds Trust

Our Compliance+ software detects:

Insider Trading · Related News Headlines ·  Spoofing · Layering · Markup/Mark Down · Wash Sales · Marking the Close · Commission Violations · Limit Up/Limit Down · Circuit Breakers · ISOs · Order Protection · Trading Halts · Unapproved Brokers · Highest Cost Trades · Borrowing & Delivery Requirements · Rule 5320 · Allocation Price Difference · Window Dressing · 605/606  ·  + other issues . . .

Compliance+ provides essential transparency ensuring accurate and compliant executions.

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

 

Abel Noser's 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 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.

 

REGULATORY REPORTING

 

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.

 

  • Scalable platform to support regulatory evolution
  • Next day notifications and custom data sets
  • Alerts can be custom calibrated
  • MiFID II European regulatory equipped

 

TRADE SURVEILLANCE

 

Our software gives you the ability to monitor securities trades with a high degree of transparency, and ensure accurate and compliant executions.

 

  • Dashboard identifies manipulative or illegal trading activity and provides transactional context
  • Offers granular performance metrics for individual traders
  • Complex metrics reveal short sell, ISO and HFT activity

Compliance+ Features

  • Centralized, web-based solution with hundreds of measures
  • Easy-to-use 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
  • Drill-down features to view orders and fills
  • 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

View types of alerts (exceptions) to review

 

  • 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 7.5 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

 

 

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+

View benchmark comparison data (right) on dashboard

Sort data sets using our powerful filters

Trade-Lenz and Drill-Thru features show order and fill details

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ABEL NOSER
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each step of the way

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