Personal Trading Surveillance

ByAllAccounts helps companies monitor personal trading accounts

Have a problem?

If you are required by the SEC or FINRA to monitor personal trading account activity you know that receiving and reviewing hard copies of employee statements takes time and money.  An alternative to paper handling, receiving a back-end electronic feed directly from a brokerage, can be costly to setup and is usually only available from the larger brokerage firms.

We have a solution.

Account aggregation removes the tedious, time-consuming and error-prone steps of manually reviewing and entering data in order to monitor personal trading activity. Our patented data aggregation technology logs into individual accounts daily through the brokerage’s web interface, electronically gathers account data and feeds it directly into third-party personal trading software or an in-house platform. 

This standardized data aggregation bridges the gap between the limited account information available via Direct Feeds and the wider electronic access to accurate, consolidated, account data compliance officers need.

Using our solution does not allow you to log into employee accounts, alter the address of record, transfer funds or trade in the accounts.

Is this solution right for you?  It is if you want to:

• Eliminate paper statements from brokerage accounts to monitor employee's personal trading accounts
• Coverage all of brokerages, even for a small numbers of accounts and/or those that are not currently supported by your direct feeds
• Monitor your employee’s personal trading without requiring them to move accounts to a brokerage that offers a back-end feed
• Have an automated, comprehensive view of your employee’s personal trading activity
• Add new custodial data sources at a low cost