Trading Platform & Execution Provider Compliance Software

As an execution provider or operator of a trading platform, you must comply with a range of regulatory obligations. Your customers demand the highest levels of protection and compliance, as they have their own regulatory obligations to worry about.

So, how can you bolster your compliance in an ever-changing regulatory landscape? SteelEye’s compliance solutions for execution providers and trading platforms reinforce your compliance capabilities with next-gen data monitoring, holistic surveillance, trade oversight tools, and much more.

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"MiFID II penalties quadrupled to €8.4 million in 2020.”
[Source: Future of Regulatory Reporting 2021]

Compliance made simple
with advanced data consolidation

With stricter rules and huge fines handed out for regulatory breaches, you need to ensure your compliance processes are watertight. However, the growing number of data feeds and sources make this increasingly complex.

SteelEye’s cutting-edge RegTech software, powered by automation, consolidates your data, simplifies compliance, and future-proofs your firm for regulatory change. Data is stored in an immutable, internationally compliant format (in line with CFTC, FINRA, IIROC, MiFID II, MAR, SEC rules, and more) for robust record-keeping and eDiscovery. Qualitative validation ensures your regulatory reporting, communications oversight, and trade surveillance meet regulatory standards.

Browse our range of compliance solutions

Enjoy greater data control with SteelEye’s software

SteelEye simplifies trade and communication oversight and regulatory reporting, giving you greater control over your data for regulatory compliance and business insights. Experience a truly consolidated view of all your transactions and communications.
Here’s what you can expect from our next-gen compliance software:

A single platform for enhanced compliance

Trading platforms and execution providers are increasingly looking for software that increases efficiency. As compliance teams struggle to manage disparate data from various sources, you need your platform to empower your customers, not add further complexity. SteelEye reduces complexity and minimizes risk by consolidating data under a single lens. Data is normalized, mapped, and indexed so record-keeping is compliant, and all data is retrievable and auditable.

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Automated regulatory reporting solution

Our regulatory reporting software saves you time and cost. SteelEye’s transaction reporting seamlessly brings together all of your regulatory data, normalizing and enriching it, before automatically compiling your reports. SteelEye provides unparalleled accuracy, boosting your data integrity and reducing human error.

See how we simplify regulatory reporting

Holistic oversight and surveillance

Proactive data monitoring is a priority for trading platforms and execution providers, as regulators expect swift detection of suspicious activity and potential threats. Efficient surveillance tools are vital. SteelEye’s holistic surveillance solution, smart reporting tools, and advanced algorithms examine trade and communications data to ensure any risks are flagged and dealt with promptly.

Learn more about holistic surveillance

Ensure Best Execution

SteelEye’s comprehensive and asset class-agnostic Best Execution solution enables effortless and continuous best execution monitoring and transaction cost analysis. Data is automatically enriched with external tick and reference data from a range of international exchanges. The platform enables you to set up alerts, detect outliers from your Order Execution Policy (OEP), and deploy rapid backtesting.

See how we enhance best execution

Leverage integrated data for unparalleled insight

Beyond the compliance benefits of our RegTech software are the opportunities for enhanced analytics. Our holistic data management tools allow you to leverage your data for deeper insights, bespoke reporting, and key management information. Our next-generation Insights tool integrates disparate data sets to help trading platforms and execution providers improve decision-making.

Discover the next-gen data insights tool

Transforming trading platform compliance
with data innovation

Our market-leading compliance software helps you to keep up with global regulations and address the wealth of operational complexities that can compromise compliance, such as:

Vast amounts of data from a growing number of sources
Silos, misalignment, and unstructured data
Legacy systems and processes
Regulatory change and increased scrutiny

SteelEye’s solutions are designed by regulatory experts, market practitioners, and data scientists who understand trading platform compliance needs. Our intuitive RegTech platform simplifies data management, eases compliance pressures, and gives you a competitive advantage.

“With SteelEye, we can meet multiple regulatory requirements within one platform, utilizing the same data set and get enhanced insight into our operations.”

“SteelEye enables us to automate as much of our compliance set up as possible, reducing the complexity of what can otherwise be an arduous and painful process. Very few other vendors offer the same breadth of regulatory compliance solutions.”

“We were looking for a solution that would allow us to meet our regulatory requirements and consolidate our ever-growing number of supported platforms, communication channels, and trade and order systems. SteelEye provided that solution.”

Key benefits of SteelEye’s compliance solutions

Comprehensive data consolidation

Managing multiple vendors and bringing together data from various sources is a key challenge for compliance officers. Our platform consolidates your data to simplify record-keeping, regulatory reporting, trade surveillance, and communications oversight. The ability to overlay and make sense of both structured and unstructured data on a single platform is a game-changer.

Cost-savings through efficiency

Our cloud-based data management platform drastically reduces your workload and provides significant cost efficiencies. Faster investigations, rapid data searches, and advanced workflow automation save you crucial time and resources.

Enhanced data management & insights

SteelEye’s advanced data management capabilities enhance your trading platform’s visibility and give you greater control over your compliance operations. Our cutting-edge analytics provide timely insights to offer you a competitive edge and the ability to easily identify opportunities and risks.

Reduced risk of non-compliance

Penalties for regulatory breaches are a concern for trading platforms and execution providers. Regulators expect demonstrable compliance across all activities. SteelEye tracks every interaction, from data ingestions and regulatory processes, to each login, change, or search made, for comprehensive auditability and peace of mind.

Why leading firms use SteelEye to bolster regulatory compliance

Combining automation, AI, and machine learning technologies, SteelEye enables firms to meet regulatory obligations more efficiently and accurately than any other solution. Integrate an unparalleled range of systems for holistic data management, compliance, and insight.

See our data-driven compliance platform in action

Watch this short video to get a glimpse of how our regulatory compliance tools work.

If you’d like a deeper look at the software, you can get a SteelEye demo. Take a test drive of our award-winning RegTech platform!

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Want to discuss our trade compliance software?

Our platform is built to meet today’s regulatory requirements, as well as those of the future, for a seamless and continuous experience. To find out more about our trade compliance software solutions, message us at sales@steel-eye.com or call +1 516-777-9931. You can also request a free consultation, where we’ll arrange a tailored session to discuss your key challenges and how we can transform your trading platform’s compliance capabilities.

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Compliance Solutions for trading platforms and execution providers

"MiFID II penalties quadrupled to €8.4 million in 2020.” [Source: Future of Regulatory Reporting 2021]

Compliance made simple with advanced data consolidation