Implementing Trade Surveillance for a Retail-focused Broker-Dealer
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Eventus
Thought Leadership
Implementing Trade Surveillance for a Retail-focused Broker-Dealer
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Eventus
Thought Leadership
Implementing Trade Surveillance for a Retail-focused Broker-Dealer
Eventus
State-of-the-art enterprise trade survei...Products
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Category Selection:
Select any categories from those you have selected for your main listing. If you wish to include more categories, add them to your main listing first and after doing so, they will appear below.
Expertise *
Accounting
112
Accounting Software
2
Auditing
20
Bookkeeping
0
Business Valuation
52
Business Valuation
52
Show More (5)
Financial Planning
0
Financial Reporting
29
Forensic Accounting
0
Payroll
9
Tax
37
Show Less (5)
Asset Management Solutions
101
Asset Allocation
2
Custodial
0
Fund Administration
10
Investment Research
16
Investment Research
13
Show More (5)
Investment Strategies
25
Performance Analytics
0
Portfolio Management
6
Risk Management
5
Trading Platforms
46
Show Less (5)
Clearing & Settlement
100
Central Securities Depositories
0
Collateral Management
5
Derivatives Clearing
0
Netting
0
Post-Trade Processing
16
Show More (5)
Reconciliation
0
Securities Lending
15
Securities Lending
15
Settlement
81
Trade Matching
7
Show Less (5)
Communications & Marketing
45
Advertising
6
Advertising
6
Branding
0
Content Creation
12
Corporate Communications
9
Show More (5)
Event Planning
5
Investor Relations
1
Market Research
5
Public Relations
0
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9
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Consulting
249
Business Process Optimization
79
Business Process Optimization
79
Change Management
16
Compliance Consulting
10
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4
Show More (5)
Human Resources Consulting
10
Operations Consulting
3
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4
Strategy Consulting
107
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35
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Insurance
15
Business Interruption Insurance
0
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4
Directors & Officers Liability Insurance
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Insurance Companies
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9
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14
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Legal
628
Contract Drafting & Review
1
Corporate Law
0
Dispute Resolution
207
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434
Show More (5)
Legal Research
431
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39
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9
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303
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7
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Other
241
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280
Business Process Management
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10
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2
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199
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199
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5
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0
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0
Show Less (3)
Risk & Compliance
181
Anti-Money Laundering (AML)
80
Compliance Training
9
Compliance Training
11
Credit Risk Management
0
Cybersecurity
45
Show More (4)
Fraud Detection
51
Know Your Customer (KYC)
42
Market Risk Management
15
Operational Risk Management
2
Show Less (4)
Technology/Software & Services
192
Artificial Intelligence & Machine Learning
21
Blockchain Technology
92
Cloud Computing
8
Compliance Software
16
Customer Relationship Management (CRM)
22
Show More (9)
Cybersecurity Solutions
0
Data Management
1
IT Infrastructure
15
IT Support & Maintenance
6
Portfolio Management Software
0
Risk Analytics
31
Risk Analytics
31
Software Development
2
System Integration
16
Show Less (9)
Wealth Management Solutions
22
Estate Planning
0
Family Office
5
Investment Management
3
Philanthropic Advisory
0
Retirement Planning
0
Show More (4)
Tax Planning
0
Trust
0
Wealth Transfer Strategies
17
Wealth Transfer Strategies
15
Show Less (4)
Industry Categories *
Accounting
9
Accounting Software
0
Auditing Services
1
Bookkeeping Services
0
Business Valuation
5
Financial Planning
0
Show More (4)
Financial Reporting
0
Forensic Accounting
0
Payroll Services
0
Tax Services
4
Show Less (4)
Asset Management Solutions
9
Asset Allocation
2
Custodial Services
3
Fund Administration
1
Investment Research
3
Investment Strategies
1
Show More (4)
Performance Analytics
3
Portfolio Management
1
Risk Management
1
Trading Platforms
2
Show Less (4)
Clearing & Settlement
14
Central Securities Depositories
1
Collateral Management
3
Derivatives Clearing
1
Netting Services
1
Post-Trade Processing
4
Show More (4)
Reconciliation
4
Securities Lending
7
Settlement Services
6
Trade Matching
2
Show Less (4)
Communications & Marketing
1
Advertising
0
Branding Services
0
Content Creation
0
Corporate Communications
0
Event Planning
0
Show More (4)
Investor Relations
1
Market Research
0
Public Relations
0
Social Media Management
0
Show Less (4)
Consulting
26
Business Process Optimization
16
Change Management
4
Compliance Consulting
6
Financial Advisory
4
Human Resources Consulting
1
Show More (4)
Operations Consulting
2
Risk Management Consulting
2
Strategy Consulting
3
Technology Consulting
5
Show Less (4)
Insurance
5
Business Interruption Insurance
0
Cyber Liability Insurance
0
Directors & Officers Liability Insurance
0
Employee Benefits
0
Errors & Omissions Insurance
0
Show More (4)
Health Insurance
0
Life Insurance
1
Property & Casualty Insurance
0
Risk Management Services
4
Show Less (4)
Legal
98
Contract Drafting & Review
3
Corporate Law
9
Dispute Resolution
3
Intellectual Property
1
Legal Research
65
Show More (4)
Litigation Support
16
Mergers & Acquisitions
20
Regulatory Compliance
10
Securities Law
23
Show Less (4)
Other
21
Conference & Event Organizers
2
Educational Institutions
1
Freelance Professionals
3
Government Agencies
4
Industry Associations
0
Show More (4)
International Organizations
9
Media & Publications
1
Non-Profit Organizations
2
Regulatory Bodies
1
Show Less (4)
Professional Services
3
Business Process Management
1
Customer Support
0
Executive Coaching
0
Facilities Management
1
Outsourcing Services
1
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Project Management
0
Quality Assurance
0
Staffing & Recruiting
1
Training & Development
0
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Research
14
Company Profiles
0
Data Analytics
7
Economic Research
0
Financial Research
6
Industry Analysis
1
Show More (2)
Qualitative Analysis
1
Quantitative Analysis
0
Show Less (2)
Risk & Compliance
25
Anti-Money Laundering (AML)
7
Compliance Training
10
Credit Risk Management
5
Cybersecurity
4
Fraud Detection
7
Show More (3)
Know Your Customer (KYC)
5
Market Risk Management
3
Operational Risk Management
7
Show Less (3)
Technology/Software & Services
58
Artificial Intelligence & Machine Learning
20
Blockchain Technology
5
Cloud Computing
7
Compliance Software
12
Customer Relationship Management (CRM)
2
Show More (8)
Cybersecurity Solutions
2
Data Management
9
IT Infrastructure
2
IT Support & Maintenance
1
Portfolio Management Software
8
Risk Analytics
8
Software Development
8
System Integration
2
Show Less (8)
Wealth Management Solutions
19
Estate Planning
1
Family Office Services
0
Investment Management
4
Philanthropic Advisory
1
Retirement Planning
2
Show More (3)
Tax Planning
0
Trust Services
3
Wealth Transfer Strategies
11
Show Less (3)
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Expert Type
1
Author
1
Speaker
0
Expert Analyst
0
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3
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Back
A pioneering retail-focused US Equities broker-dealer known for commission-free trading, approached Eventus to further enhance their surveillance capabilities.
Key Metrics:
The client benefited from a swift and seamless implementation of Eventus’ Validus platform, which delivered:
- < 2 Months: Time-to-market
- Enhanced Surveillance: Customizable pattern alerts
- Seamless Integration: Data format compatibility and case management export
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