Trade compliance software
Trade compliance software that automatically monitors employee and client trades every day against the rules your firm sets.
Data that arrives on its own
Trading data flows in automatically from connected custodians and brokerages, so your team spends less time collecting statements and entering transactions.
- More than 35 custodian integrations
- More than 7,000 brokerages, plus statement uploads
- Household accounts linked to each employee
- Account categorization for easier oversight
Surveillance that shows its work
Every alert shows the trades involved and why they were flagged, so your team can clear or escalate without digging through statements.
- Front running, best execution, and favoritism
- Excessive trading, turnover, and holding periods
- Personal trades matched to client accounts
- Options linked to their underlying securities
Rules that match your policies
Set trade surveillance rules that reflect your firm's Code of Ethics. Define what's prohibited, what requires pre-clearance, and which accounts or securities are excluded.
- Write rules in plain English
- Define prohibited trades and pre-clearance requirements
- Exclude specific asset types, accounts, or symbols
- Use the same rules for surveillance and pre-clearance
Lists for every policy
A new restriction applies the moment you add it, so no trade slips through the cracks while lists catch up.
- Restricted and watch lists
- Blackout periods and expiry dates
- Applied to the people or groups you choose
- Import by ticker, CUSIP, or ISIN
Every decision, on the record
Every cleared trade alert includes the reason behind the decision and the policy in effect at the time, so you have the full history ready when examiners ask.
- Reason documented for every cleared alert
- Policy in effect saved with each decision
- Complete log of restricted list changes
- Records ready to export for exams
Also included
- Front running
- Best execution
- Watch list trades
- Favoritism
- Portfolio turnover
- Excessive trading
- Holding periods
- Private investments and IPOs
Software built for a culture of compliance.
- 05
Marketing compliance
Marketing reviews that keep pace, with Go checking every piece against the Marketing Rule.
Explore Marketing compliance - 06
Firm compliance
Every obligation owned and on schedule, with Go drafting the work and a signed record when it's done.
Explore Firm compliance - 07
Filings
U4 data, ADV Part 2B supplements, and 13F reports, prepared from data you already have.
Explore Filings
Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.