Institutional Broker-Dealers

Subserveo performs daily analysis of all transactions, orders and account holdings supported by an extensive library of ready to use compliance tests. Covering all North American regulatory requirements, Subserveo supports FINRA and SEC as well as IIROC, UMIR and MFDA regulations.

Chief Compliance Officers, Compliance Officers and Branch Managers rely on Subserveo for its accurate and detailed compliance alerts and case management.

With an extensive, preconfigured library of tests, Subserveo is essential in conducting 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

Subserveo leverages comprehensive, industry-validated compliance scenario libraries for retail, institutional, and investment suitability. It provides the essential elements for a single compliance environment, eliminating the need to integrate data from multiple applications, resulting in rapid deployment and immediate benefits.