Glossary
Every term between trade and settlement.
Trade surveillance is the automated monitoring systems broker-dealers use to detect manipulative trading patterns, insider trading indicators, and behavioral anomalies across proprietary, market-making, and customer order trading activity.
Trading platform records are the books-and-records layer around institutional trading activity: orders, executions, blotters, positions, cash, supervision, and retained evidence after the platform has generated the event.
Transfer agency operational workflows govern the shareholder register and dealing cycle: onboarding, subscriptions, redemptions, transfers, distributions, omnibus reconciliation, and the evidence that fund accounting consumes.