Compliance Software for Capital Markets Broker-Dealers

All-in-One Total Protection Platform

The utility of this total protection, all-in-one platform, combined with our service model, make it the lowest in total cost. Each module automatically tests and flags exceptions to your compliance guidelines and includes case management tools, proof reports for regulators and clients and audit trails. Enjoy complete employee compliance workflow and eliminate report writing for the annual compliance review and more. All modules and the political contributions and insider trading detection databases are also sold separately.

We’ll Tailor a Solution for Your Broker-Dealer Based on our Modular Compliance Software

Download our Capital Markets Broker-Dealer Compliance Software Brochure.

Capital Markets Broker Dealer Compliance Software Brochure


Financial Tracking Technologies LLC
1111 East Putnam Ave, Suite 304
Riverside, CT 06878

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