Communication & Disclosures
Reviewing marketing, financial promotions, and customer disclosures against FCA, SEC, and FINRA standards before they go out.
Material Non-Public Information (MNPI) Controls
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GovernPivotPro
Trade surveillance for buy-side and sell-side desks
Best execution and complaints evidence is produced automatically, so the firm can answer a regulator's conduct question with a documented trail rather than a manual reconstruction.
Headquartered in United States·Founded 2010·51-200 employees·Public
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Surveillance and conduct teams at buy-side and sell-side firms, brokers, and trading venues.
What they solve
Detects market abuse patterns across orders, trades, and chat with case management for surveillance teams.
Trade Reporting
Submitting transaction and trade reports under MiFIR, EMIR, SFTR, Dodd-Frank, and equivalent regimes, with reconciliation against counterparty submissions.
Derivatives Reporting (EMIR / SFTR)APA / Trade Publication
Products
Trade SurveillanceLive
Monitors voice and electronic communications for conduct risk with reviewable, explainable flags.
Market Conduct · Trade Reporting, Trade Surveillance
Best Execution AnalyzerBeta
Analyses execution quality against benchmarks and evidences best execution to regulators.
Market Conduct · Trade Surveillance, Trade Reporting
Clients
ⓘTeam
Felix Garcia
VP Sales
Tara Yamamoto
VP Engineering
Oliver Vidal
Head of Regulatory Affairs
Interested in GovernPivot?
Reveal their contact details to get in touch.