Benefits & Results

  • Subserveo gives brokerage firms confidence that their compliance and supervisory activities are functional, accountable, and executed consistently according to firm policy across the whole organization.
  • Enhances the compliance officer role, giving them the upper-hand in demonstrating on-demand, firm-wide FINRA, SEC and SRO compliance to senior management and regulators
  • Enables compliance supervisors to more effectively conduct trade blotter reviews, examinations, and investigations
  • Results in consistent compliance standards being applied across the whole organization
  • Gives management the assurance that the compliance and supervision system is accountable and functional

Compliance Surveillance Process

Today, surveillance is time consuming and prone to error

Subserveo brings immediate improvements to the compliance surveillance process:

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.