Front Running

Compliance Solutions for Monitoring Front Running Activity

Front running occurs when a broker or trader buys or sells a security from his or her own account ahead of firm customers. It is considered an illegal activity by the SEC and FINRA and is one of the most commonly scrutinized activities within a firm's compliance department.

Tracking broker trades for illegal front running activity is a time-consuming but instrumental activity that a firm's compliance department must undertake. Compliance11's proprietary front running reports make broker activity easy to monitor. These front running reports are specifically designed to track trading activity in an easy-to-read captive report that allows compliance department supervisors to easily monitor activity by security, date and employee.

Put Front Running Reports Front and Center

The Compliance11 Supervisory Suite allows firms to automatically track and closely monitor front running. The software's front running report enables firms to track activity and help identify and curtail illegal employee trading actions. By providing compliance managers with turn-key regulatory compliance software that includes front running monitoring, you can be assured that your firm's financial and reputational risk are being actively checked for compliance irregularities.