Exchange Compliance
Streamline and strengthen your compliance end-to-end
Regulatory oversight in capital markets is increasingly complex, requiring firms to monitor order flow, enforce various controls, and respond to regulatory inquiries rapidly. The Exchange Compliance module provides real-time compliance monitoring, trade validation, and case management tools to help firms meet ever-evolving exchange and regulatory requirements—reducing the risk of fines and penalties.
Your single source of truth to power best-in-class compliance, risk, and operations
Why firms choose the Exchange Compliance module
Avoid Regulatory Fines & Penalties
With automated compliance checks in place, firms can ensure proper controls and avoid costly fines from SROs and regulatory agencies.
Proactive Risk Management
Real-time monitoring and case management allow firms to identify, investigate, and resolve compliance issues before they escalate.
Efficient Audit & Inquiry Responses
CrossCheck enables immediate access to audit trails, significantly reducing the time required to respond to regulatory inquiries.
Improved Cross-functional Collaboration
A centralized compliance hub ensures that Compliance, Operations, and Technology teams can work together efficiently—improving oversight and transparency across the organization.
Scalable Compliance Framework
A scalable infrastructure that is adaptable to support new regulations and requirements as they are introduced.
%20(1).png)
.png)
Key Features & Benefits
Comprehensive Real-time Trade Flow Monitoring
Track CME operator IDs (Tag50), location IDs (Tag142), and ICE manual order indicators (Tag1028)
Ensure block trades are booked correctly within ClearPort, Direct, and WebICE
Monitor Eurex Short Code and Algo Code compliance, with more EU exchanges coming soon
Automated Compliance & Risk Mitigation
Enforce exchange-specific trade validation in real-time
Identify and resolve non-compliant orders before they escalate
Reduce the risk of SRO and regulatory agency fines
.svg)
Case Management & Workflow Automation
Assign compliance cases within the platform
Track notes, resolution progress, and audit history
Streamline communication between compliance, operations, and support desks
Seamless Integration & Scalable Compliance Operations
Works across multiple exchanges with expanding coverage
Supports Ops, Compliance, and Tech teams for end-to-end trade oversight
Adapt quickly to new regulations without operational disruption
%20(1).png)
Who benefits from the Exchange Compliance module?
Gain instant access to structured trade data for faster response times across all of your teams.
Compliance Teams
.svg)
Instantly troubleshoot order execution issues
Electronic Support Desks
Gain seamless access to both real-time and historical data for audit readiness and risk mitigation
Operations & Technology Teams
Improve efficiency in trade reconciliation and reporting
What Our Clients Say
"The regulatory and reputational risk that comes with doing things manually isn't something you want in your firm. By automating audit trails and compliance processes with CrossCheck, we minimize those risks significantly."
Michel Shantner
Premium Customer
"We have filled the gaps that we discovered during our internal compliance review and now have a globally consolidated solution that simplifies data access and enhances reliability."
Selena Miller
Operations Director
Get started today
Centralize and standardize your trading data for real-time visibility and compliance-ready insights.
Subscribe to our Insights