About Compliance Science

Compliance Science is a New York City based global leader in providing web-based regulatory compliance technology and services to the Financial Services community. In today’s complex global market, high-stakes business ventures need help to perpetually stay in compliance with regulatory law and to avoid being vulnerable to financial penalties as well as potentially staggering blows to public relations. We provide that help.

Our Flagship Product, the Personal Trading Control Center™, allows companies to organize, supervise, and archive all employee personal trading activity with cost-effective web-based software. Our other products help store institutional contracts and manage documents for regulatory exams. Read more about our Compliance Products>>

With services provided by a staff of experts comprised of attorneys, compliance professionals, and system developers, Compliance Science is well equipped to competently assist with your compliance burdens. You can then have the freedom to get back to business without worrying about a regulatory audit crippling your enterprise. Read more about our Compliance Services>>

  • Mission Statement

    Our mission is to provide easy to use, state-of-the art- technology solutions while providing top tier customer support to our expanding client base.

 

History / Company Timeline

Compliance Science, formed as a regulatory compliance company, has been providing configurable solutions to the Financial Services community since 2003. Our reliable service currently spans four continents (United States, Europe, Australia, and Asia).

Compliance Science was founded by Managing Directors Michael D'Angelo and Mitchel Kraskin. A successful entrepreneur, Mitchel is also an inventor with a patent in rule compliance systems and rule definition languages. Mitchel is acknowledged by the industry as an expert in the field of financial services compliance.

In 2003, Compliance Science launched its C-TRAC™ platform, allowing financial institutions to capture and certify the discrete variables embedded within institutional contract data across all clients and counterparty agreements.

In 2007, Compliance Science added to its product suite by launching its Personal Trading Control Center™ in response to our clients' growing need for managing the personal trading activities of their employees. Policing insider trading within investment firms is a multi-layered process that demanded real-time information and decision making. Compliance Science quickly delivered tools that combine a front end for entering proposed employee transactions with an engine that validates these trades against the firm’s defined rules and current trading blotter. At the same time, to help ensure the broadest coverage and highest quality insider trading surveillance services, Compliance Science integrated additional security issue and issuer data from SIX Telekurs into PTCC™. This increased the breadth of our equity and derivatives database to cover corporate bonds and related fixed income securities.

In 2011, ACA Compliance Group (ACA), the largest independent global financial services compliance consultancy, licensed Compliance Science Technology to provide premium compliance services integrated into our personal trading technology platforms so that ACA clients could benefit from an effective, intelligent solution to their personal trading compliance needs.

Today, Compliance Science has emerged as the leading compliance technology vendor in the personal trading vertical. We continue to provide services to firms both large and small within the financial services industry. And we are proud to say that 3 of the top 5 Hedge Funds and 8 of the top 10 Private Equity Firms are clients. We have a stable and secure platform and our clients can be assured of our continued efforts to provide them the best compliance solutions in the world.