Platform

The Unified AI Platform Powering Operations & Compliance for Financial Institutions

Everything you need to manage trade reporting, best execution, surveillance, corporate actions, and data reconciliation - all in one intelligent platform.

Trade Reporting (CAT/CAIS)

Automated Regulatory Reporting

Never miss a regulatory deadline again. New Range automatically collects trade data, validates formats, identifies exceptions, and submits reports to FINRA CAT & CAIS.

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Key Benefits

Automated data collection from order and execution systems

Multi-layer validation before submission

Real-time error detection and correction

Intelligent rejection handling and resubmission

Reconciliation with external partners and data sources

Cross-reference validation

Complete audit trail documentation

Submission monitoring

Historical reporting and analytics

Reduce CAT rejection rates

Catch errors before regulators do

Eliminate manual reconciliation work

Submit reports on time

Maintain examination-ready documentation

Best Execution Analysis

Demonstrate Regulatory Compliance With Robust Analysis Tools

Best execution is a fundamental regulatory obligation for broker-dealers. New Range provides the most sophisticated analysis tools to monitor, analyze, and document your best execution program.

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Key Benefits

Real-time execution quality monitoring

Automated benchmark comparisons

Price improvement tracking

Fill rate analysis across venues

Execution speed measurement

Rule 606 report generation

Routing pattern analysis

Historical trend analysis

Customizable quality metrics

Exception alerts for outliers

Use intelligent agents to optimize execution quality for your clients

Pass best execution examinations confidently

Identify routing improvements

Demonstrate regulatory compliance

Maintain comprehensive documentation

Corporate Actions Management

Automated Event Processing

Corporate actions errors can cause major operational and compliance risks. Missed entitlements, incorrect dividend payouts, and processing errors damage client relationships and trigger regulatory scrutiny. New Range automates corporate action management from announcement through final allocation

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Key Benefits

Real-time corporate action announcements

Automated entitlement calculations

Multi-source data validation

Allocation processing

Payment reconciliation

Exception handling workflows

Audit trail documentation

Reporting for examinations

Historical event tracking

Eliminate missed corporate actions

Reduce processing errors

Improve customer satisfaction

Maintain regulatory compliance

Streamline operations

Trade Surveillance

Demonstrate Regulatory Compliance With Robust Analysis Tools

Best execution is a fundamental regulatory obligation for broker-dealers. New Range provides the most sophisticated analysis tools to monitor, analyze, and document your best execution program.

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Key Benefits

Real-time trade monitoring

Pre-configured surveillance scenarios

Custom alert rule creation

Investigation workflow management

Real-time trade monitoring

Pre-configured surveillance scenarios

Custom alert rule creation

Investigation workflow management

Case documentation and tracking

Pattern detection algorithms

Data Reconciliation

Ensure Data Integrity Across Internal and External Systems

Accurate data reconciliation is essential to a strong compliance program. When different systems contain conflicting information, compliance failures follow. New Range's reconciliation engine ensures data consistency across your entire infrastructure

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Key Benefits

Multi-system data comparison

Intelligent automated matching

Configurable tolerance rules

Break detection

Exception workflow routing

Resolution tracking

Escalation management

Audit trail documentation

Reconciliation reporting

Catch data issues before submissions

Improve data quality

Pass regulatory examinations

Enable confident decision-making

Bank-Grade Security You Can Trust

Your firm's data is your most sensitive asset. New Range implements institutional-grade security controls to protect it.

SOC 2 Type I & II and SOC 3 Certification

We maintain SOC 2 Type I & II and SOC 3 certification, demonstrating our commitment to security, availability, processing integrity, confidentiality, and privacy. Annual audits by independent third parties verify our controls.

Penetration Testing

We conduct regular third-party penetration tests to identify and remediate vulnerabilities, ensuring our platform remains secure against emerging threats.

Role-Based Access Control

Granular permissions ensure users only access data and functions appropriate to their role. Define roles, enforce segregation of duties, and maintain detailed access logs.

SOC 2 Type I & II and SOC 3 Certification

Penetration Testing

We conduct regular third-party penetration tests to identify and remediate vulnerabilities, ensuring our platform remains secure against emerging threats.

Role-Based Access Control

Granular permissions ensure users only access data and functions appropriate to their role. Define roles, enforce segregation of duties, and maintain detailed access logs.

Data Encryption

All data is encrypted at rest using AES-256 and in transit using TLS 1.3. Encryption keys are managed using best practices with regular rotation.

Privacy Mode

Enable privacy mode to mask sensitive customer information while enabling compliance analysis across surveillance, best execution, and reporting.

Audit Trails

Every action in New Range generates audit log entries showing who did what, when, and why. Immutable logs provide forensic-quality documentation for regulatory examinations.

Built for Scale and Reliability

New Range runs on enterprise-grade cloud infrastructure designed for financial services:

99.9% uptime SLA

Redundant systems across multiple availability zones

Automated failover and disaster recovery

99.9% uptime SLA

Redundant systems across multiple availability zones

Automated failover and disaster recovery

Horizontal scalability handling volume spikes

Sub-second query response times

24/7 infrastructure monitoring

Automated backups with point-in-time recovery

White-Glove Implementation and Ongoing Support

Getting started with New Range is straightforward. Our implementation team guides you through setup across all modules, configuration, and training to ensure smooth onboarding.

Initial consultation to understand requirements across all compliance areas

Custom configuration for each module

Data migration from existing systems

Initial consultation to understand requirements across all compliance areas

Custom configuration for each module

Data migration from existing systems

Source data mapping

Integration setup and testing

Comprehensive user training

Go-live support and monitoring

Ongoing customer success management

Experience the New Range Platform

See firsthand how New Range can transform your firm's compliance and operations across trade reporting, best execution, surveillance, corporate actions, and data reconciliation. Schedule a personalized demo to explore platform features, ask questions, and discuss your specific requirements.

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