Overview Designated Brokerage Designated Brokerage Services
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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.

Brokerage Products: Not FDIC-Insured • No Bank Guarantee • May Lose Value

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

Sales Contact:

To learn more, please contact a Client Development Officer at 877-589-4276 or db.request@schwab.com.

Service Contact:

Designated Brokerage Services Support Team
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