Compliance Solutions for Financial Services

North American Regulatory Support – Subserveo supports FINRA and SEC as well as IIROC, UMIR and MFDA regulations

Retail Broker-Dealers –Subserveo performs daily analysis of all transactions, orders and account holdings supported by an extensive library of ready to use compliance tests. Chiefs of Compliance, Compliance Officers as well as Branch Managers rely on Subserveo for its accurate and detailed compliance alerts and case management.

  • Customer transaction and account holdings review
  • Private placements and do-not-trade lists
  • RR conduct
  • Registration
  • Options transactions
  • Monitoring of customer and proprietary account
  • Trading limits
  • Solicited  and short sales trade surveillance
  • Positions in house and operational accounts
  • Average price errors
  • New account monitoring

Investment Suitability – helps Compliance and Branch Management survey and identify customer accounts where Risk and Objectives are not in sync with those indicated by the customer

AML and Customer Identification Program – help Compliance and AML Officers conduct surveillance of transactions, accounts and asset movement by referencing Government and 3rd party sourced watch lists.

Institutional Broker-Dealers — with an extensive, preconfigured library of tests, compliance officers find Subserveo essential in helping them conduct surveillance for:

  • Front running of research
  • Transactions in watch or restricted list securities
  • Monitoring of specific issues traded versus firm or national market volume
  • Commission and marks
  • Best execution and client priority
  • Suspicious trading activity
  • Trade reporting

Correspondent Clearing/Carrying Brokers – today Subserveo provides compliance and surveillance automation to some of the largest clearing organizations is North America. Offered as a value added service, Subserveo provides an easy to use, quick to implement solution to Introducer firms in Canada and the United States. Subserveo’s knowledge of Compliance, back office, settlements and trading operations ensure a rapid implementation process.