Fidelity is one of Greenboard’s most important data and custody partners, providing a trusted and secure connection point for the brokerage and custodial information that powers many of the platform’s core compliance capabilities. Through the Fidelity Information Exchange, Greenboard receives direct data feeds that allow compliance teams to monitor personal trading activity, firm trading activity, and cross compare both data sets to identify potential risks that demand attention. This integration extends the reach of a firm’s compliance oversight and creates a consistent, transparent flow of the information required to uphold SEC and FINRA standards.

For employee personal trading surveillance, Fidelity provides account level transaction data that Greenboard automatically ingests and standardizes. This ensures that compliance teams can review equity, options, fixed income, and other activity in real time and verify that employees are following firm specific policies such as restricted lists, blackout periods, and heightened supervision rules. By centralizing this data, Greenboard makes it simple to flag potential violations, track exception handling, and maintain the audit trails expected during examinations and investigations.

Fidelity is also a key source of custodial data for firm level trade testing. Through this connection, Greenboard receives transactional information for the accounts a firm manages or advises, allowing compliance teams to conduct essential tests such as best execution, client favoritism, excessive trading value, and excessive trading quantity reviews. The consistency and timeliness of Fidelity’s custodial feed provide the foundation needed for accurate, repeatable, and well documented testing that aligns with regulatory expectations.

Greenboard receives both brokerage and custodial data, allowing firms to  perform combined trade tests that would otherwise require manual data collection from multiple systems. This includes front running, a high impact test that compares employee personal trades against firm client trades to identify timing patterns or conflicts. By leveraging Fidelity’s data and Greenboard’s automated testing engine, firms can catch issues early, remediate quickly, and demonstrate a robust supervisory structure during exams.

Fidelity’s data quality, industry credibility, and operational rigor make it an ideal partner as Greenboard continues to expand its trade surveillance capabilities. Firms benefit from a reliable, secure connection that brings both personal and firm trading into a single view, reducing manual surveillance burdens and strengthening adherence to regulatory and internal trading standards.

Together, Fidelity and Greenboard provide a comprehensive and scalable foundation for trade monitoring, employee oversight, and firm level testing that protects clients, employees, and the firm’s reputation.