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1 Broker-Dealer Compliance
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2 Institutional Reporting
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Broker-Dealer Compliance
First touch
For FINRA-registered broker-dealers, Connect is the first Gresham system a transaction touches. Trades are captured from OMS/EMS environments via FIX connectivity, reported to FINRA TRACE and MSRB within the regulatory window, and settled through BNY Pershing clearing — all within a single compliance workflow. Control Cloud reconciles what follows. Connect is compliance infrastructure, not a reporting add-on.
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Institutional Reporting
End of pipeline
For asset managers, banks, and custodians, Connect is end-of-pipeline delivery. Reconciled data leaves Control Cloud and reaches regulatory venues, downstream risk systems, and finance infrastructure through 350+ pre-built connectors to 80+ regulatory and trading venues worldwide. Gresham maintains the connectors as standards evolve — compliance coverage stays current without internal engineering resource.
Purpose-built pricing for broker-dealer scale
The FINRA TRACE obligation is non-negotiable. The pricing for solving it shouldn't require enterprise-scale justification. Connect Cloud delivers TRACE, MSRB, and BNY Pershing clearing sized for the actual compliance workflow — not the institutional overhead that comes with a bundled enterprise platform. A validated deployment at a leading US broker-dealer runs at a fraction of six-figure bundled platform costs. The compliance outcome is the same. The overhead is not.
The Connect platform
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Pre-built connectors350+ connectors to regulatory venues, trading systems, settlement platforms, and downstream risk and finance systems. Gresham-maintained — configure and deploy, no build required.
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Compliance workflow
FINRA TRACE, MSRB, and BNY Pershing in a single automated workflow. Sub-minute submission. No manual entry, no missed reporting windows.
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Maintained standards
SWIFT libraries and connector mappings updated on Gresham's schedule as standards evolve. Compliance coverage stays current without internal engineering resource.
Clean data, delivered everywhere it needs to go.
Reconciled data leaving Control Cloud needs to reach risk systems, finance, general ledger, settlement platforms, and client reporting — each with its own format requirement and delivery SLA. Connect handles the full outbound delivery layer. Validated, format-compliant output to every downstream destination, with a full audit trail from reconciliation to regulatory venue. STP processing scales automatically with volume. When the numbers are right, Connect makes sure they arrive right too.
