SOLUTIONS · COMPLIANCE
Regulatory boundaries, handled quietly.
Pre-populated blocked regions. Two-person approval on everything that moves money. Seven-year audit trail, queryable.
Compliance in brokerage software is usually a bolt-on — a vendor that watches the trading engine and raises a flag after the fact. Slate's compliance layer is part of the trading engine, part of the CRM, part of the workflow engine, and part of the ledger. It doesn't watch; it enforces. And it does so quietly, so your compliance officer doesn't spend the week explaining what happened — because what happened was already the right thing.
The boundaries already drawn
Every broker arrives with blocked regions already pre-populated.
The worst compliance story in brokerage software is the one where a broker accidentally onboards a client from a restricted jurisdiction because nobody configured the KYC flow correctly. Slate's jurisdiction layer is pre-populated per broker: the regions you can't serve are already blocked at the onboarding form, the trading engine, and the withdrawal rails — all three, all the time. Changing the configuration takes a role with the right permission and leaves a full audit trail.
Nothing ships without a second pair of eyes
Two-person approval on bonuses, adjustments, margin changes, and KYC overrides.
Every action that moves money or overrides a compliance rule requires a second approver: one authorized role proposes, a different authorized role approves, and only then does the action fire. RBAC decides who has each role. The audit ledger records every proposal, every approval, every rejection, and the reason. Your compliance officer walks into every audit already prepared.
Seven years of audit, queryable
The financial ledger lives in TimescaleDB — indexed, searchable, seven years deep.
Every credit, every debit, every trade, every adjustment, every compliance event, every KYC decision, every workflow rule firing, every login — seven years of retained, indexed history in a TimescaleDB financial ledger. When a regulator asks for the audit trail on a specific client between two dates, the answer is a SQL query and a CSV export — not an archaeology project across five vendors.
When regulators ask, you're ready
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. No risk of a row missing.
Pre-populated blocked regions · Two-person approval · 35 RBAC permissions · 7-year financial ledger retention · TimescaleDB audit trail · Queryable audit logs · Regulator report pack · Per-broker isolation
What powers this
Pass every audit without rewriting your week.
Book a demo and we'll show you the compliance audit pack an existing broker generates — the one they haven't had to hand-build in two years.