Compliance

The Compliance unit ensures adherence to regulatory requirements and internal policies across all brokerage operations. It monitors trading activities, maintains required records, submits regulatory reports, and implements controls to prevent market abuse and other violations.

This department is part of the Brokerage business area.

Products fall into the following categories:

• Trade Surveillance Systems
• Regulatory Reporting Solutions
• AML/KYC Compliance Software
• Electronic Communications Surveillance
• Policy Management Platforms
• Audit Trail and Record-Keeping Systems