FIS® Trading Compliance Manager is a multi-asset, web-based surveillance solution that’s designed to alert sell-side firms to potential violations occurring in the marketplace, assist in supervisory controls and support management reporting.

Trading Compliance Manager provides a complete view into an order’s life cycle, driven by alerts and supported by comprehensive market data and client data warehouses. As a result, you can more efficiently manage daily reviews, post-trade analysis, RegNMS compliance, and general trading compliance and supervision.

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FIS Can Help

Discover a multi-asset, web-based trading compliance management solution that meets your compliance obligations

Mitigate risk and focus on profitability

Control reputational risk and keep profitability at the forefront with a proactive approach

Improve quality while reducing costs

Rely on our data warehousing to improve execution data while avoiding storage costs

Take control

Limit access with a permission-based system that securely maintains sensitive information

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FIS Trading Compliance Manager product sheet

The multi-asset regulatory reporting and surveillance solution.

Enhanced Rule 606b Reporting product sheet

A solution that allows firms to stay ahead of the new rule, as mandated by the Securities and Exchange Commission (SEC).

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Mitigate reputational risk and focus on profitability