Compliance and Surveillance
In today’s trading environment, regulatory requirements present serious risk to capital markets firms. Are you keeping your firm in line with the latest regulatory developments and insulated from the fines and reputational damage that stem from noncompliance?
Are you complying with your current surveillance requirements?
The capital market industry’s lack of available, economical compliance solutions has forced many brokerages and trading firms to either ignore their surveillance requirements or lean on spreadsheets. Firm58 delivers a cost-effective, hosted solution that allows you to focus on client service and strategy.
Having a centralized audit trail of activity and resolutions can lighten your firm’s compliance burden, and Firm58’s compliance solution documents all potential violations lurking in your trading activity and tracks final resolutions, demonstrating that you are meeting your surveillance requirements.