Empowering Financial Compliance through Innovation and Precision
Revolutionize your compliance operations with ADEPT™'s advanced automation and real-time insights.
Built for every seat in the reporting chain.
Compliance
Exam-ready submissions with evidence attached, not reconstructed after the request letter.
Operations
Exception queues instead of spreadsheet triage. Fewer manual steps, less rework, cleaner cycles.
Technology
One integration surface across OMS, EMS, and clearing, instead of a bespoke feed per obligation.
Broker-dealer leadership
Confidence that obligations are covered by a system, not by whoever built the spreadsheet.
Vendors & partners
A dependable reporting layer to integrate with, backed by people who answer the phone.
Reporting fails in the seams, not the systems.
Every firm has an OMS, a clearing relationship, and a compliance calendar. What most firms don't have is a governed layer connecting them, and that's exactly where exams find the gaps.
- Condition 01Fragmented sources
- Order, execution, allocation, and account data live in systems that were never designed to reconcile with each other. Each reporting obligation re-solves the same joins. Differently.
- Condition 02Manual reconciliation
- Spreadsheet checks before every CAT and TRACE cycle put your most error-prone process directly in front of your most scrutinized output. The person who "knows the file" becomes the control.
- Condition 03Silent drift
- Symbologies change. Vendors patch feeds. A field mapping quietly breaks in March and surfaces in an exam letter in October. Without lineage, you can't even prove what happened.
Every obligation, one governed workflow.
Each reporting lane runs on the same platform spine (same ingestion, same validation, same audit trail), so fixing a data issue once fixes it everywhere.
FINRA CAT Reporting
Ensure compliance with FINRA's Consolidated Audit Trail (CAT) with real-time data submission and error resolution capabilities.
Explore CAT reporting →CAISCAT CAIS Reporting
Secure and accurate reporting for customer and account information, meeting all standards and ensuring that you maintain comprehensive compliance.
Explore CAIS reporting →605/606Rule 605/606 Reporting
Automate your routing and execution quality reports, meeting the SEC’s mandates without sacrificing operational efficiency.
Explore 605/606 reporting →TRACE / TRFTRACE & TRF Workflows
Fixed-income and equity trade reporting with a reconciled, exam-ready audit trail.
Explore TRACE & ORF →SURVTrade Surveillance
Alert workflows with disposition history your compliance team can stand behind.
Explore TRF surveillance →INTEGOMS/EMS & Clearing
Vendor integration support across order management, execution, and clearing-firm feeds.
Explore integration →ADEPT™ · TRADESTORE™The Platform
The data and workflow foundation running underneath every lane above.
See the platform →Why Choose Xinthesys?
We do regulatory reporting and compliance data operations, not everything for everyone. That focus shows up in the product and in the engagement.
Unified Compliance Platform
CAT linkage rules, TRACE dissemination quirks, TRF matching: we work in the details your generalist vendor discovers during your exam.
Self-Service & White-Glove Model
We map how your file actually gets built, then remove the manual steps, rather than selling around them.
Scalable & Adaptable Solutions
Built by people who have owned reporting obligations at broker-dealers and market infrastructure firms, not adapted from adjacent industries.
A Real Platform Underneath
ADEPT™ and TradeStore™ are production systems moving regulated data today, not a roadmap slide with a logo on it.
"Most firms don't lack effort. They lack a workflow that holds up under exam."
Ready to Elevate Your Compliance Operations?
Schedule a personalized demo to see ADEPT™ in action.