A key operational challenge faced by brokers is complying with internal and regulatory demand for timely and accurate information on all trading activity. As a full service technology partner, FTEN offers dedicated data warehousing infrastructure and a complete suite of reporting and compliance tools to help firms meet their regulatory and internal needs.

FTEN provides the following reporting services:

  • Regulatory reports for major regulatory programs including OATS, OTS, Electronic Blue Sheets (EBS) and Large Trader ID (LTID)
  • Back office execution and clearing integration
  • Statistical reporting on trading activity including cancellation rates, fill rates, volume concentration, etc.
  • Surveillance and compliance reports with activity summaries (e.g. short sales, rule 606, rule 804, ISO orders, etc.)
  • Books and Records archival for regulatory compliance (TRDS)