SELL-SIDE  —  Compliance

At Topfin we stand ready to assist in designing the systems that would protect your Firm's reputation and integrity.

Our solutions and services are designed for the Broker Dealers that are subjects of the compliance requirements of SEC, FINRA, CFTC, CHX, CBOE and other self regulatory organizations (SROs) domestically and overseas.

We provide reliable, scalable and cost-effective solutions to support your Compliance program:

  • Recordkeeping
  • Supervision
  • Audit
  • Risk management
  • Reporting
  • Violation detection
  • Internal monitoring, alerting, notifications
  • Vendor management

Learn More:

At Topfin we stand ready to assist in designing the systems that would protect your Firm's reputation and integrity.

Our solutions and services are designed for the Broker Dealers that are subjects of the compliance requirements of SEC, FINRA, CFTC, CHX, CBOE and other self regulatory organizations (SROs) domestically and overseas.

We provide reliable, scalable and cost-effective solutions to support your Compliance program:

  • Recordkeeping
  • Supervision
  • Audit
  • Risk management
  • Reporting
  • Violation detection
  • Internal monitoring, alerting, notifications
  • Vendor management

Learn More: