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• Technology

Innovative Technology Solutions

Schwab has the technology and tools to help your compliance staff meet trade surveillance requirements with greater accuracy and efficiency.

SchwabLink® our proprietary data-exchange software:

• Improves your back-end reporting accuracy with electronic downloads of your employees’ Schwab account details and trade confirmations
• Automates your trade surveillance process in a secure environment
• Enhances your ability to identify violations quickly and accurately
• Transmits data to your desktop to help you match against pre-clear, restricted, or watch lists

Experience an online demonstration at www.schwabdesignatedbrokerage.com/schwablink.

SchwabInstitutional.com works with SchwabLink to offer record access and retention and includes features that can further improve your employee trade monitoring process:

• Real-time access to employee account activity
• Trade confirmations and statements right at your fingertips
• Reporting and search capabilities to research employee account information
• Customizable operational email alerts

Schwab Trade Rules, a ground breaking, web-based application, allows you to better manage risks associated with employee trade monitoring by preventing restricted trades before they occur. Schwab Trade Rules can help you:

• Reduce costs and enhance efficiency by eliminating time-consuming pre-clear trade approval processes
• Reduce the need to reconcile employee trades
• Create customized rules within the application that best reflect your firm’s trading policy
• Track your firm’s rule history easily and prepare for audits

Charles Schwab & Co., Inc. and Charles Schwab Bank are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation. Brokerage products are offered by Charles Schwab & Co., Inc., Member SIPC. Deposit and lending products and services are offered by Charles Schwab Bank, Member FDIC and an Equal Housing Lender.

Schwab Designated Brokerage Services provides technology solutions for corporate clients with regulatory requirements to monitor employee security transactions.