Retail Broker-Dealers | Subserveo

By: Subserveo  09-12-2011
Keywords: Surveillance, Compliance Officers

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:

  • Customer transaction and account holdings review
  • Private placements and do-not-trade lists
  • Registered Rep conduct
  • Registration
  • Options transactions
  • Monitoring of customer and proprietary accounts
  • 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 Review and identify customer accounts where Risk and Objectives are not in sync with those indicated by the customer. Also can incorporate 3rd party and firm data, aggregating it all to form one comprehensive dashboard of potential issues.

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

Keywords: Compliance Officers, Surveillance,

Contact Subserveo

Email - none provided

Print this page

Other products and services from Subserveo


Correspondent Clearing/Carrying Brokers | Subserveo

Offered as a value added service, Subserveo provides an easy-to-use, quick-to-implement solution to Introducer firms in the United States and Canada. Subserveo’s knowledge of compliance, back office, settlements and trading operations ensures a rapid implementation process. Subserveo provides compliance and surveillance automation to some of the largest clearing organizations in North America.


Benefits | Subserveo

We enhance the Compliance Officer role, empowering demonstration of on-demand, firm-wide compliance to senior management and regulators, while enabling Compliance Supervisors to more effectively conduct trade blotter reviews, examinations, and investigations.