PLATFORM · COMPLIANCE
Compliance built into every module.
Pre-populated blocked regions enforced at the onboarding form, the trading engine, and the withdrawal rails. Two-person approval on every action that moves money. Seven-year queryable audit ledger.
Compliance in a brokerage platform is either a bolt-on that watches and raises flags after the fact, or it's a design decision that runs through every module. Slate is the second kind. The compliance layer sits inside the trading engine, inside the CRM, inside the workflow engine, and inside the ledger — it doesn't observe from the outside. It enforces from the inside, quietly, so your compliance officer walks into every audit already prepared.
The boundaries already drawn
Blocked regions enforced at three gates: onboarding, trading, withdrawal.
Every broker on Slate arrives with blocked regions pre-populated — the countries they're not licensed to serve, or won't serve for policy reasons, are already refused at three separate enforcement points. The KYC form rejects the client. The trading engine refuses the symbol. The withdrawal rail refuses the payout. Changing the configuration takes a role with the right permission and leaves a full audit trail. The "we accidentally onboarded a client from a restricted jurisdiction" story does not exist.
A second approver, everywhere
Every action that moves money or overrides a rule passes through a second approver.
Bonus grants, margin adjustments, fee reversals, KYC overrides, jurisdiction rule changes, large withdrawals — everything flows through a second-approver workflow automatically. One authorized role proposes; a different authorized role approves; only then does the action fire. The proposer cannot approve their own action. The audit ledger records every proposal, every approval, every rejection, and the reason. Your compliance officer knows exactly what your operators can do, and exactly what they cannot do alone.
The audit ledger
Seven years of retained, indexed history in TimescaleDB — queryable in SQL.
Every credit, every debit, every trade, every KYC decision, every compliance event, every workflow action, every login — all of it lands in a TimescaleDB financial ledger that retains seven years of history, indexed on the dimensions regulators actually query. A regulator asks for the audit trail on client X between dates Y and Z — the answer is a SQL query and a CSV export. No archaeology, no five-vendor handoff, no analyst assembling spreadsheets.
When regulators ask
The report pack is already built.
Every jurisdiction's regulator asks for the same handful of reports: trade ledger, KYC log, AML event log, client statements, fee breakdown, compliance event timeline. Slate generates every one of those on demand, per broker, per period, signed with the audit trail. No analyst assembling spreadsheets the night before the filing. When a new jurisdiction requires a new report format, Slate's integration layer adds it in hours — not the usual three weeks.
Pre-populated blocked regions · Three-gate enforcement · Two-person approval on money moves · 35 RBAC permissions · 7-year audit retention · TimescaleDB financial ledger · Regulator report pack · Queryable in SQL
Use this to solve
See the audit pack generate itself.
Book a demo and we'll run a live regulator-style report against an existing broker's ledger.