Broker Feed Coverage

Financial services compliance programs depend on complete, accurate, and timely trade data. As part of our Personal Trade Management solution, we provide broad broker feed coverage designed to capture employee and firm trading activity across global broker ecosystems—supplemented by OCR trade capture where direct electronic feeds are unavailable.

How MCO Approaches Broker Feed Coverage

MCO does not rely on a single ingestion method. Instead, broker feed coverage is delivered through a layered capture model:

1. Direct Electronic Broker Feeds – automated daily ingestion where supported

2. OCR Statement & Confirm Capture – document‑based ingestion for non‑electronic brokers

3. Manual Upload & Exception Handling – controlled workflows for edge cases

This reflects how trade data arrives in real‑world compliance programs, especially for employee personal accounts and international brokers.

Feed Availability & Coverage Disclosure

Direct brokerage feed availability is controlled by individual financial institutions and may vary by account type, jurisdiction, legal agreements, and broker participation. Where a direct electronic feed is unavailable or delayed, MyComplianceOffice applies native OCR‑based trade capture to ensure uninterrupted compliance coverage and consistent policy enforcement.

Direct Broker Feed Coverage (Representative Scope)

MCO supports a broad and continually expanding set of direct brokerage integrations, covering major global firms, regional broker‑dealers, and large clearing networks. The list below is presented in an aggregated, buyer‑friendly format to show the breadth of coverage without relying on a static or exhaustive enumeration.

Note: Feed availability, legal requirements, and delivery scope may vary by broker and region. Where a direct feed is not available, MCO seamlessly applies OCR trade capture to ensure continuity of coverage.

Don’t see your broker listed? Coverage is not limited to this page. MCO supports hundreds of firms through direct feeds, clearing‑house integrations, and OCR‑based trade capture for all remaining scenarios.

Tier 1 Global & Retail Brokers

Widely used by employee and advisor populations worldwide:

• Charles Schwab

• Fidelity Investments (US, Institutional, and International)

• Vanguard

• Interactive Brokers (Global: US, UK, EU, Canada, APAC)

• TD Ameritrade

• E*TRADE (futures coverage)

• Robinhood

• Merrill Lynch / Merrill Edge

• Morgan Stanley

• UBS

Global Investment Banks & Private Wealth Platforms

Enterprise‑grade brokerage and advisory environments:

• Goldman Sachs (including Advisor Solutions / Folio)

• JP Morgan / Chase

• Barclays (US & UK)

• Credit Suisse

• HSBC

• Northern Trust

• State Street

• BNY Mellon

UK, EU & International Brokers

Strong coverage across EMEA and APAC regions:

• AJ Bell

• Hargreaves Lansdowne

• Charles Stanley

• DEGIRO

• IG Group / IG Markets

• Saxo Bank

• Zerodha (India)

• Phillip Securities (Singapore)

• UOB Kay Hian

Clearing Platform–Based Coverage (Network Effect)

MCO integrates across major clearing houses, enabling coverage of hundreds of affiliated broker‑dealers through a single integration pathway:

Pershing Clearing

• Covers a wide range of national and regional broker‑dealers, RIAs, and investment firms across the US and internationally

National Financial Services (NFS)

• Supports extensive employee trading coverage across advisory and insurance‑affiliated broker networks

First Clearing

• Provides access to numerous regional and independent broker‑dealers

(Examples include firms such as Cambridge Investment Research, Commonwealth Financial Network, Kestra, Osaic, LPL‑affiliated entities, Wells Fargo‑cleared firms, and many others.)

View expanded broker coverage by clearing platform

Pershing Clearing (Representative Examples)

Supports hundreds of broker‑dealers including:

• Osaic Wealth

• Park Avenue Securities

• Rockefeller Financial

• Sanctuary Securities

• Piper Sandler & Co.

• NewEdge Securities

• Kestra‑affiliated firms

(and many additional Pershing‑cleared broker‑dealers)

National Financial Services (NFS)

Extensive coverage including:

• Cambridge Investment Research

• Commonwealth Financial Network

• Cetera‑affiliated entities

• Insurance‑affiliated broker‑dealers

(and other NFS‑cleared firms)

First Clearing

Regional and mid‑market firms including:

• Wells Fargo Advisors affiliates

• Independent regional broker‑dealers

(and additional First Clearing participants)

Regional & Specialty Broker Coverage

Additional support for regional, niche, and specialty brokerages across:

• United States

• Canada

• United Kingdom

• European Union

• Asia‑Pacific

• Latin America

Where direct feeds are not technically or commercially supported, OCR trade capture ensures no loss of surveillance coverage.

Account Types Supported

• Employee personal brokerage accounts

• Managed and discretionary accounts

• Firm‑related or affiliated accounts captured for conflicts monitoring

OCR Coverage for Brokers Without Electronic Feeds

Not all brokers provide structured electronic data. To close this gap, MCO includes native OCR trade capture that extracts structured trade and holding data from:

• PDF brokerage statements

• Scanned or photographed paper confirms

• Legacy or international broker documents

• Non‑standard or proprietary statement formats

OCR‑captured trades are normalized into MCO’s shared compliance data model and subjected to the same reconciliation, surveillance, and audit workflows as electronically fed trades. OCR is embedded directly within MCO’s Personal Trade Manager, not delivered through third‑party document tools.

Why Hybrid Broker Feed Coverage Matters

Most regulatory findings related to personal trading do not stem from missing policies—but from missing data. Common risk scenarios include:

• Brokers outside approved electronic feed lists

• International or regional firms without APIs

• Employees maintaining legacy or paper‑only accounts

By combining direct feeds with OCR capture, MCO enables firms to demonstrate:

• Complete trade population coverage

• Reduced reliance on employee self‑reporting

• Consistent rule application across all trades

• Defensible audit trails for examinations

Integrated With MCO Trade Surveillance & Compliance Workflows

All broker‑fed and OCR‑captured data flows into the same MCO platform, supporting:

• Automated reconciliations

• Pre‑ and post‑trade surveillance rules

• Restricted list and insider trading checks

• Case management and investigation workflows

This unified architecture eliminates data silos commonly created by separate feed ingestion and document processing systems.

Key Differentiator vs. Traditional Surveillance Platforms

Many trade surveillance platforms prioritize exchange and venue data. MCO is purpose‑built for personal trading and conflicts compliance, where broker feed variability and document‑based data are unavoidable.

Designed for Evolving Broker Ecosystems

Broker feed coverage is not static. MCO’s configuration‑driven platform allows:

• Rapid onboarding of new broker feeds

• OCR‑based coverage during onboarding gaps

• Adaptation to regional regulatory requirements

This ensures firms maintain continuity of trade capture even as brokers, formats, and regulations evolve.