Streamline & Strengthen Your Compliance
The Exchange Compliance module provides real-time tag and order routing compliance monitoring, trade validation, and case management tools to help firms meet ever-evolving exchange and regulatory requirements.
Why Firms Choose CrossCheck Exchange Compliance Module
Automates compliance checks to ensure proper control and avoid costly SRO or regulatory fines
Addresses proactive risk challenges with real-time monitoring and case management
Improves cross-functional collaboration and responsiveness between compliance, operations, and technology teams
Features & Benefits
Comprehensive Real-Time Trade Flow Monitoring
- Track short codes and algo codes for major North American and European exchanges, including CME operator IDs (Tag 50) and location IDs (Tag 142), ICE manual order indicators (Tag 1028), and monitor Eurex Short Code and Algo Code compliance.
- Monitor and manage block trades booked within ClearPort, CME Direct, and WebICE
Automated Compliance & Risk Mitigation
- Enforce exchange-specific trade validation in real-time
- Identify and resolve non-compliant orders before they escalate
Case Management & Workflow Automation
- Assign compliance cases within the platform while tracking notes, resolution progress, and audit history
- Streamline communication between compliance, operations, and support desks
Seamless Integration & Scalable Compliance Operations
- Works across multiple exchanges with coverage that adapts quickly to new regulations without operational disruption
- Assists e-support, operations, compliance, risk, and technology teams for end-to-end trade oversight
Who benefits from Exchange Compliance
Electronic Support Desks
Gain seamless access to both real-time and historical data for audit readiness and risk mitigation
Learn More
Do you need to solve your Exchange Compliance problems?
Learn how CrossCheck Exchange Compliance can deliver needed requirements and improve efficiency.