Transforming financial compliance with tailored solutions.
ADEPT™ offers a suite of advanced compliance and reporting solutions designed to streamline your regulatory obligations, enhance operational efficiency, and empower your business to stay ahead of industry demands.
One governed flow, from feed to filing.
Every obligation on this page moves through the same five stages before anything reaches a regulator: one governed pipeline running underneath each filing.
Every regulatory obligation, covered.
ADEPT™ runs every regime below on the same ingestion, validation, and audit-trail layer: six obligations, one platform underneath.
FINRA CAT Reporting
Stay compliant with FINRA's Consolidated Audit Trail (CAT) requirements using ADEPT™'s automated reporting tools.
Learn More About CAT ReportingCAISCAT CAIS Reporting
Accurate customer and account information submissions made easy with our automated CAIS reporting solution.
Discover How We Simplify CAIS Reporting605/606Rule 605/606 Reporting
Automate your routing and execution quality reports, meeting the SEC’s mandates without sacrificing operational efficiency.
Learn More About 605/606 ReportingTRACE & ORFTRACE & ORF Surveillance
Enhance your compliance operations with surveillance tools tailored for TRACE and ORF obligations.
See TRACE & ORF Surveillance in ActionTRFTRF Surveillance & Audit Trail
Gain transparency and oversight with automated monitoring of TRF submissions and trading behaviors.
Learn About TRF SurveillanceINTEGOMS/EMS & Clearing
Vendor integration support across order management, execution, and clearing-firm feeds.
Discuss integration →ADEPT™ · TRADESTORE™The Platform
The data and workflow foundation running underneath every lane above.
See the platform →Benefits of the ADEPT™ platform.
Unified Compliance Dashboard
A single, modular platform that adapts quickly to new regulatory changes and scales as your business grows.
Customizable & Scalable Tools
ADEPT™’s real-time compliance monitoring allows financial firms to act on potential discrepancies before they become regulatory issues.
Seamless Integration & Data Management
Whether pulling from internal systems or third-party platforms, ADEPT™’s data ecosystem seamlessly integrates, ensuring a smooth compliance process.
Proven Expertise & Continuous Support
Xinthesys works as a partner, not just a provider. We align our technology, expertise, and solutions with your specific needs, delivering not just products but outcomes. Continuous improvement and support are cornerstones of our customer approach, ensuring you get the best results at every stage.
How data flows through ADEPT™.
ADEPT™ takes each source system through the same three stages before anything reaches a regulator: ingest, validate and enrich, and submit with lineage attached.
- Step 01Ingest
- ADEPT™ pulls order, execution, allocation, and account data from your OMS, EMS, and clearing feeds into one governed intake. No per-obligation exports to keep in sync.
- Step 02Validate and enrich
- Records are checked against linkage rules, symbologies, and reference data, then enriched with the fields each downstream regime requires: the same validated layer feeding every lane.
- Step 03Submit with lineage
- Each submission (CAT, CAIS, 605/606, TRACE, or TRF) goes out carrying its full lineage back to source, so when a regulator asks why, the answer is a query, not a reconstruction.
One platform. Two ways to run it.
ADEPT™ supports a self-service and white-glove model: run the platform with your own team, or have ours operate it with you.
Run ADEPT™ with your own team
Your analysts work directly in ADEPT™: dashboards, rules, and exception queues under your control.
- User-defined rulesConfigure event-driven, rules-based compliance processes without waiting on a vendor change queue.
- Unified dashboardMonitor every obligation from one compliance view as submissions move through their lifecycle.
Have ADEPT™ operated with you
From initial engagement to continuous support, our team works hand-in-hand with yours on tailored solutions.
- End-to-end partnershipSolutions aligned with your business goals, from onboarding through ongoing operation.
- Dedicated supportPersonalized, on-demand assistance so your compliance needs are met as the landscape evolves.
Both ways of running ADEPT™, at work.
Every regime, the same governed pipeline.
Five regulatory obligations and one integration lane, all running the same five-stage pipeline underneath.
Frequently asked questions
FINRA's Consolidated Audit Trail requires broker-dealers to report the full lifecycle of an order (from receipt through routing, modification, and execution) with every event linked so regulators can reconstruct what happened to it. ADEPT™ builds and validates that linkage before submission, rather than leaving it to be discovered in an error report.
CAT reports order and execution events; CAIS, the Customer and Account Information System, reports the customer and account records tied to those events. The two obligations run on the same underlying data, which is why ADEPT™ keeps them synchronized rather than treating them as separate feeds.
Rule 605 applies to market centers that execute orders in NMS stocks, and Rule 606 applies to broker-dealers that route customer orders, both are required to publish standardized reports on execution quality and order-routing practices.
TRACE is FINRA's trade reporting facility for fixed-income securities, and ORF, the OTC Reporting Facility, covers over-the-counter equity trades. Both require timely, accurate trade reports along with surveillance for behaviors like spoofing, layering, and trade-throughs.
ADEPT™ connects to your existing OMS, EMS, and clearing feeds rather than requiring you to replace them, so onboarding is primarily a mapping and validation exercise on the data you already have. A specialist reviews your current process during the initial conversation to scope what that looks like for your setup.
See Xinthesys in Action
Request a live demo of ADEPT™, scoped to your own CAT, CAIS, 605/606, TRACE, or TRF obligations, not a generic product tour.