Who we work withBroker-dealers
Engineering for broker-dealers
We build and run the platforms FINRA member firms depend on: accounts, orders, records and the controls around them, designed so supervisory reviews and examination requests are answered from the system itself.
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Who we work with
- FINRA member broker-dealers modernising account, order or back-office platforms
- Introducing and self-clearing firms connecting to clearing firms, custodians and execution venues
- Fintechs building on a broker-dealer’s platform or registration
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What your systems have to meet
The SEC and FINRA rules we design around. We build systems that support these obligations; meeting them remains your firm’s responsibility.
- SEC Rules 17a-3 and 17a-4
- The records your systems must create and keep, and electronic storage that is write-once or keeps a complete audit trail.
- FINRA Rule 4511
- General books-and-records requirements and retention.
- FINRA Rule 3110
- Supervisory review built into workflows, with evidence of every review.
- Regulation Best Interest · FINRA Rules 2090 and 2111
- Customer profiles, suitability and the records behind recommendations.
- Consolidated Audit Trail
- Order-event reporting under the CAT NMS Plan and FINRA’s Rule 6800 series.
- Regulation S-P · Regulation S-ID
- Protecting customer information, incident response, service-provider oversight and identity-theft red flags.
- FINRA Rule 4370
- Business continuity planning for the systems you run.
- FINRA Rule 2210
- Communications with the public, including messages drafted with AI.
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Typical projects
- Account and order platforms
Account opening, order capture and routing, with an append-only record of every state change that can be replayed for a client, compliance or an examiner.
- Books and records
Write-once or audit-trail storage, retention set to your obligations, and exports your compliance team can hand to examiners.
- Clearing and custodian integrations
Reliable connections to clearing firms, custodians and execution venues, with daily reconciliation and exception queues.
- Supervision tooling
Review queues, alerts and sampling for trades and communications, with every decision recorded.
- Regulatory reporting pipelines
CAT and other reporting feeds with validation and reconciliation before anything is submitted.
- Governed AI in customer service
Drafting tools with human review, complete records of every prompt and reply, and change control for prompts and models.
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How we work with your compliance team
We are engineers, not a law firm, compliance consultancy or auditor. We don’t give legal or compliance advice or certify your firm; we work with the people who do.
- Alongside your compliance team
- We engineer the controls, records and evidence. Your CCO and advisers interpret the rules and own the compliance programme.
- Evidence from the system
- Records, review history and deployment logs come from the systems themselves, so requests are answered with data, not reconstructions.
- Ready for your vendor review
- Our practices, security documentation and questionnaire answers are prepared for your due diligence before we start.
Next step
Tell us about the system and the rules it has to meet.
An engineer will reply with how we'd approach it, or who would be a better fit.