Risk officers, investment managers and brokers today 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.
Clarity Breeds Trust
Our Compliance+ software detects:
Insider Trading w/ Related News Feed · Spoofing · Layering · Markup/Mark Down · Wash Sales · Marking the Close · Commission Violations · Limit Up/Limit Down · Trades Outside Bid/Ask Spread · Circuit Breakers · ISOs · 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 . . .
Compliance+ provides essential transparency ensuring accurate and compliant executions.
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.
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 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+ Trade Surveillance as an insurance policy in a difficult and complex regulatory environment.
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
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)
View types of alerts (exceptions) to review
View Compliance Summary & Exception History from Dashboard
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+
Sort data sets using our powerful filters
Trade-Lenz and Drill-Thru features show order and fill details
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Also See Our Other Products:
Liquidity Risk Management, MiFID II, PRIIPS, Trade-ZoomTCA & SEC Rule 605/606 Reporting, FINRA Reporting, CAT-CAIS Reporting