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Private Wealth Daily

Trade and code-of-ethics monitoring

RIA compliance platforms, archiving and surveillance, marketing review, trade monitoring and cybersecurity.

  • 6 vendors
  • Updated October 26, 2026
  • Free, editorial
News on Trade and code-of-ethics monitoring in your edition and on My Desk.
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6 Trade and code-of-ethics monitoring vendors

Most complete profiles first, then A to Z · No company pays to be listed or for where it appears

Greenboard

Compliance & risk

AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance

  • Archiving and surveillance
  • Marketing review
  • RIA compliance platforms
Built for
RIAs, Broker-dealers, Asset managers
Pricing · Region
Custom quote · US
Works with
Microsoft Teams, Slack

Behavox

Compliance & risk

Communication and trade surveillance, archiving and compliance controls software

  • Archiving and surveillance
  • Trade and code-of-ethics monitoring
Built for
Banks and trust companies, Asset managers
Pricing · Region
Custom quote · UK
Works with
None listed yet

RIA Compliance Technology

Compliance & risk

Modular compliance software for RIAs and compliance consultants: email archiving, trade monitoring and task management

  • Archiving and surveillance
  • RIA compliance platforms
  • Trade and code-of-ethics monitoring
Built for
RIAs, Broker-dealers
Pricing · Region
Custom quote · US
Works with
None listed yet

SteelEye

Compliance & risk

Trade and communications surveillance and record-keeping software for financial firms

  • Archiving and surveillance
  • Trade and code-of-ethics monitoring
Built for
Asset managers, Banks and trust companies, Broker-dealers
Pricing · Region
Custom quote · UK
Works with
None listed yet

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BondWave

Data & research

Fixed income portfolio and trade analytics for wealth firms and RIAs

  • Trade and code-of-ethics monitoring
  • Market data
  • Proposal generation
Built for
RIAs, Asset managers
Pricing · Region
US
Works with
Investortools

RedBlack

Portfolio management

Multi-custodian rebalancing, trading and portfolio accounting software for RIAs, wealth managers and family offices.

  • Trade and code-of-ethics monitoring
  • Outsourced back office
  • Portfolio accounting
Built for
RIAs, Family offices
Pricing · Region
US
Works with
CAIS
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