Dodd Frank - Don't Wait!

  • Post Trade Surveillance  Simplified

    • Developed & Priced for Small to Mid-Sized Broker-Dealers
    • 160+ Rules based on FINRA, SEC, IIROC, UMIR and MFDA Regulations
    • One Central Solution to meet daily, monthly and annual reviews
    Request Live Demo

  • Key Benefits

    • Eliminate the need for paper based reports
    • Reduce Regulatory Audit Preparation by months
    • Spend more time on case follow-up
    Request Live Demo

  • Industries We Serve

    • All across North America
    • Retail and Institutional Broker-Dealers
    • Correspondent Clearing/Carrying Brokers
    Learn More

  • Capital Investment Companies®

    “Subserveo has given us a comprehensive view of our business and has made us a better firm.”

    -Richard Bryant, President & CEO, Capital Investment Companies®
    Read the Case Study

Why Compliance Software?

Brokerage ComplianceSubserveo provides automated compliance and surveillance solutions to Retail and Institutional Broker-Dealers, as well as Wealth Management and RIA firms. Supported by an extensive library of FINRA, SEC, IIROC and UMIR-based tests, Subserveo delivers daily analysis of all transactions, orders and account holdings.  Chiefs of Compliance and Compliance Officers depend on Subserveo for its accurate and detailed compliance alerts and case management, enhancing all aspects of day to day supervision. Read more

Recent Awards
The BCTIA awarded Subserveo the 2011 Technology Impact Award (TIA) for the Best Application of Technology...read more
Client Successes

Through effectiveness testing, our institution now achieves a high level of comfort regarding the state of our compliance. Subserveo helps our chief compliance officer sleep better at night!
— Compliance Officer