Implementing Trade Surveillance for a Retail-focused Broker-Dealer
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Implementing Trade Surveillance for a Retail-focused Broker-Dealer
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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
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10
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16
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13
Show More (5)
Investment Strategies
25
Performance Analytics
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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
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Communications & Marketing
45
Advertising
6
Advertising
6
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0
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12
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9
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5
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249
Business Process Optimization
79
Business Process Optimization
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Change Management
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10
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434
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Risk & Compliance
181
Anti-Money Laundering (AML)
80
Compliance Training
9
Compliance Training
11
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0
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45
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51
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42
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192
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21
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92
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22
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IT Infrastructure
15
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6
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0
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16
Show Less (9)
Wealth Management Solutions
22
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17
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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
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0
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0
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0
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1
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0
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0
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0
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Consulting
28
Business Process Optimization
16
Change Management
4
Compliance Consulting
8
Financial Advisory
4
Human Resources Consulting
1
Show More (4)
Operations Consulting
2
Risk Management Consulting
2
Strategy Consulting
3
Technology Consulting
5
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Insurance
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Business Interruption Insurance
0
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Directors & Officers Liability Insurance
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Health Insurance
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Life Insurance
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100
Contract Drafting & Review
3
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9
Dispute Resolution
3
Intellectual Property
1
Legal Research
65
Show More (4)
Litigation Support
16
Mergers & Acquisitions
20
Regulatory Compliance
12
Securities Law
25
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Other
21
Conference & Event Organizers
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Educational Institutions
1
Freelance Professionals
3
Government Agencies
4
Industry Associations
0
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International Organizations
9
Media & Publications
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Non-Profit Organizations
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Regulatory Bodies
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Customer Support
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Risk & Compliance
30
Anti-Money Laundering (AML)
7
Compliance Training
10
Credit Risk Management
5
Cybersecurity
4
Fraud Detection
7
Show More (3)
Know Your Customer (KYC)
9
Market Risk Management
3
Operational Risk Management
8
Show Less (3)
Technology/Software & Services
61
Artificial Intelligence & Machine Learning
20
Blockchain Technology
5
Cloud Computing
7
Compliance Software
14
Customer Relationship Management (CRM)
2
Show More (8)
Cybersecurity Solutions
2
Data Management
10
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
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Author
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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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