Better than a bird’s eye view – see the forest AND the trees

Oyster Solutions allows you to effectively monitor your client and employee trade activity. The Monitor module allows you to see activity at household, account, rep and firm levels. By ingesting data from one or more clearing firms and custodians, Monitor allows aggregation of information across back-office systems, in one view.

One powerful platform that’s easy to use. Incorporate alerts, trade blotter and profiles with the Oyster Solutions platform.

“Having a centralized location for reporting and record keeping will increase accountability for all users. This is an exciting time for our firm and having Oyster Solutions will enhance our readiness for both internal and external examinations/inspections.”

-Current Client

Trade Blotter

A filterable, sortable, exportable trade blotter can be a valuable resource for supervision, surveillance and testing. Evidence your reviews with notes and electronic sign-off to prove your supervision.

Alert Engine

Configuring the Oyster Solutions alert engine to your specifications allows you to monitor for potential exceptions. Comparing transactions, positions and fees to your client profile keeps your team ahead of potential issues. Determine the frequency, severity and parameters of all of your alerts in one system while using our online tool to keep your compliance program ready for today’s markets.


House information about your associated persons using our Profile tool. Profile allows you transparency into your employee or 1099 population by keeping information in one place where you can view employee type, supervisory hierarchy and business continuity plan information. You can even track licensing and appointments, outside business activities, assigned equipment and complaints for needed individuals.

Employee Personal Trading Compliance

Monitoring employee personal trade activity is time consuming and requires seamless communication between employees and compliance teams. Oyster Solutions provides a place for employees to apply for pre-approval and also for firms to house employee information such as outside business activities, conduct verification and identify conflicts of interest with client activity.


Learn how Oyster Solutions creates a modern, effective compliance program that protects your firm and provides value.


Our Process

Step 01


Integrate data, policies and procedures

Step 02


Map data, policies and procedures to regulations, products, business lines, policy owners

Step 03


Define and measure risk, determine frequency of testing

Step 04


Configure workflows to achieve efficient, consistent results

Step 05


Manage through reporting and transactional monitoring processes