Subserveo

Subserveo provides automated post trade surveillance and risk solutions to Retail and Institutional Broker-Dealers, as well as Wealth Management and RIA firms. Supported by an extensive library of FINRA, SEC, IIROC and UMIR-based tests, Subserveo delivers daily analysis of all transactions, orders and account holdings. Chiefs of Compliance and Compliance Officers depend on Subserveo for its accurate and detailed compliance alerts and case management, enhancing all aspects of day to day supervision.