A complete compliance view.
Real-time monitoring, a customizable rules-based system, and a unified trade lifecycle provide financial institutions with a 360° view of their compliance processes.
Key Differentiators
Proven Track Record & Financial Growth
Xinthesys is a market leader in regulatory technology, providing innovative solutions that have led to solid financial growth and high client satisfaction. Our products consistently demonstrate measurable operational efficiency improvements.
Comprehensive Solutions for Global Markets
Xinthesys’ broad expertise across multiple asset classes and global markets ensures our solutions are versatile, scalable, and ready to address diverse compliance needs.
Event-Driven User Rules-Based Platform
The event-driven platform allows clients to define user-based rules for compliance processes, enabling quick adaptation to new regulations and market changes.
Zero-Error Regulatory Submission
Leveraging a triage-based approach, ADEPT™ ensures every data submission is error-free, minimizing any potential risks of regulatory penalties.
Systems in. Structure applied. Defensible output.
One ingestion spine normalizes every source. One workflow layer applies validation, enrichment, and control. Every output (regulatory or supervisory) carries its lineage with it.
One spine, not six pipelines
Every lane consumes the same validated data. A mapping fix, a symbology change, a new account: applied once, reflected everywhere.
Lineage as a first principle
Every submitted record traces back to its source events, transformations, and approvals. When a regulator asks "why," the answer is a query, not an archaeology project.
Workflow, not just software
Exception queues, approvals, and controls model how your team actually works the file, so the process is the control, not the person.
Real-Time TradeStore™
ADEPT™ TradeStore™ gives financial institutions a single, real-time view of the trade lifecycle. A customizable rules-based system applies compliance logic as events occur, so monitoring stays continuous instead of catching up after the fact.
- Real-time monitoringADEPT™ TradeStore™ tracks the trade lifecycle as it happens, rather than reconstructing it after the fact.
- Customizable, rules-basedCompliance rules are configured to the firm's own processes and applied automatically as events arrive.
- A unified 360° viewOne TradeStore™ record spans the full trade lifecycle, giving compliance teams a single reference instead of scattered systems.
Live trade lifecycle
Zero-Error Regulatory Submission
ADEPT™ triages every submission before it reaches a regulator, catching errors and gaps at the point of preparation rather than after rejection. That triage-first approach is what keeps the error rate at zero.
- Triage before transmissionEvery record is checked against regulatory validation rules before it's ever transmitted, not after it comes back rejected.
- Error-free by designADEPT™ is built to catch data and formatting issues at the source, minimizing the risk of regulatory penalties.
- One process across regimesThe same triage workflow applies across CAT, CAIS, 605/606, TRACE, and TRF submissions.
Triage before transmission
Event-driven, rules-based workflow
ADEPT™ is event-driven: as trade and account activity arrives, the platform applies client-defined rules to route, flag, and triage it for compliance review. When a regulation changes, the rules are updated, not the pipeline.
- Event-driven processingADEPT™ acts on events as they arrive, rather than in a fixed end-of-day batch.
- User-defined rulesClients define their own compliance rules within ADEPT™, so the platform adapts to how their firm actually operates.
- Built for changeNew regulations and market changes are handled by updating rules, not rebuilding the workflow.
Rules applied as events arrive
A walkthrough of the working surface.
Capability, regime by regime.
ADEPT™ covers submission, surveillance, and lineage across the regimes below.
| Area | Capability | Detail |
|---|---|---|
| CAT | FINRA CAT Reporting | End-to-end workflow automation with built-in error resolution for FINRA Consolidated Audit Trail reporting. |
| CAIS | CAT CAIS Reporting | Integrated data management for accurate customer and account information submissions. |
| 605/606 | Rule 605/606 Disclosure Reporting | Order execution and routing disclosures prepared and filed on the required reporting cycle. |
| TRACE & ORF | TRACE & ORF Surveillance | Behavioral monitoring and a surveillance dashboard covering the full trade lifecycle for TRACE and ORF obligations. |
| TRF | TRF Surveillance & Audit Trail | Configurable, behavior-based monitoring with an automated audit trail for TRF submissions. |
| INTEG | OMS/EMS & Clearing integration | ADEPT™ connects to OMS, EMS, and clearing systems to ingest trade and account data at the source. |
| LINEAGE | Source-to-submission lineage | Every submission traces back through ADEPT™ to its originating trade and account events. |
"Zero-error rate in compliance reporting isn’t just a goal, it’s a standard."
Empowering Compliance, Elevating Performance
Xinthesys isn’t just a compliance solution. It’s a business transformation partner. See how our innovative platform can streamline your compliance operations, improve efficiency, and position your business for growth in an ever-changing financial landscape.