Features
- Web-based Interface (Software-as-a-Service)
- Role-based User Views and Dashboards
- Comprehensive Case Management
- Powerful Search Tools
- Archiving Capabilities
- Customizable Reports
- Rule Library of over 160 Tests
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Designed specifically for the Compliance Officer, Branch Manager, and Trading Desk Supervisor, Subserveo tests every trade and transaction against current exchange and brokerage industry regulations (FINRA, SEC, IIROC and UMIR), and rules that govern daily account and transaction supervision and broker conduct.
