Trade and personal-trading surveillance
Surveillance tools watch client accounts, trading or employee trading and raise alerts for a supervisor to review; the compliance platforms that also monitor trading are listed after the specialists. This is AdviserDeck's own index, built from each vendor's own website as we read it on October 22, 2026. It is not a regulator's list: FINRA retired its Compliance Vendor Directory effective March 19, 2024, and no regulator endorses the vendors named here. A listing is not a recommendation: vendors appear in alphabetical order, with no ranking, ratings or prices, and our verdicts, with each vendor read against the rule, live on the comparison pages linked from each vendor's card. For the rule itself, read our guide to trade surveillance for small firms.
Read October 2026
Vendors, A to Z
NICE Actimize
Financial markets compliance suite
A financial markets compliance suite with communications surveillance, markets surveillance and sales-practice and suitability modules, which its markets page says suits organizations of all sizes.
SteelEye
Trade and communications surveillance
A trade and communications surveillance, reporting and record-keeping platform for asset and wealth managers, banks, brokers, commodity trading firms and hedge funds.
StratiFi
Account monitoring for wealth firms
A platform for wealth management firms whose ComplianceIQ monitors every account for share-class, concentration and suitability issues, naming RIAs, independent broker-dealers, TAMPs and banks.
Compared on
Also fits
- RIA and broker-dealer compliance platformsCompliance monitoring and books and records
TT Trade Surveillance
Multi-asset trade surveillance (Trading Technologies)
A cloud-based tool from Trading Technologies for monitoring and investigating trading across equities, futures, options, fixed income and FX; its page does not name the firms it serves.
Also listed under other categories
Each of these vendors has its card under another category and a product or service that also fits this one.
- ACA GroupPersonal trading (ComplianceAlpha)Card under RIA and BD compliance consultants
- ComplyEmployee personal tradingCard under RIA and broker-dealer compliance platforms
- Docupace ComplianceEdgeAccount surveillanceCard under RIA and broker-dealer compliance platforms
- HadriusAccount surveillanceCard under RIA and broker-dealer compliance platforms
- Orion ComplianceClient oversight and personal tradingCard under RIA and broker-dealer compliance platforms
- SmartriaPersonal tradingCard under RIA and broker-dealer compliance platforms