B2B PERSONAL INSTITUTIONAL INSIGHT WebTrader Open Account Compliance Control Monitoring compliance is a top priority for us. We offer tools to help ensure transparency and control. Compliance Control Watchmen Engine Rule 15c3-5 compliance control It all starts with choosing which clients to accept Real-time financial risk control Real-time credit risk control Real-time and end-of-day AML due diligence Real-time market access control (orders, symbols, volume, routers, etc) Real-time executing counterparty due diligence (real-time redirect) Daily client business and risk profile due diligence Watchmen Engine — Rules-driven real-time and end-of-day compliance and monitoring The Watchmen Engine provides the transparency and rules-based controls that protect your business and ours, as well as the custodian's, providing your business with the stability it needs to grow. Financial Information eXchange (FIX) is a standard messaging protocol that allows order management systems to connect with market centers and exchange securities electronically. Our FIX experts have a great deal of experience with the protocol and can show you how to use it more proficiently. There are many benefits to mastering FIX: faster trade execution, fewer system errors, and greater freedom to send trades where you want to send them. Watchmen Pre-Trade Controls in Real Time Compliance Monitoring RT Rejected orders by reject type, client name, access ID, date/time, symbol Cancelled trade monitoring Activity monitoring Layering and spoofing Outsized trading Order dominance monitoring Buying power overrides Position overrides Access monitoring All exemptions, overrides, adjustments, narrative Operations Adjustments RT Corporate action adjustments Option exercise adjustments Corrections Compliance Monitoring RT Authorized access check Custodian start of day upload verification Buying power check Trading limit check Position check Price check Restriction check Order check Watchmen Post-Trade Compliance Monitoring Client Profile Drilldowns EOD Holdings Orders Executions Cancels Security market cap Security liquidity Buying power utilization Value at risk Activity details EOD Wash sales Wash sales with 5 cents Spoofing and layering Last-minute trading Volume dominance Low priced stocks activity All money moves All security moves Watchmen Routing Control Order management rules OATS reporting Rule 606 reporting Custodian connectivity / end of day file Let's see how we can work together Get in touch with us Business Continuity Privacy Policy SEC 606 Reports Disclaimer FINRA BrokerCheck for ViewTrade Securities, Inc. Form CRS Reg BI Disclosures Brokerage services are offered by ViewTrade Securities, Inc. Member FINRA, SIPC, NYSE Arca, NASDAQ, CBOE Edge, CBOE BATS. Technology services are provided by Orbis Systems, Inc. © 2021 ViewTrade Holding Corp., Inc. All rights reserved.