As a dedicated provider of objective guidance and financial services, Schwab is committed to meeting the high standards that compliance departments demand.

Schwab can help you more efficiently monitor your employees personal trading. Our technology and wide range of services benefit both your compliance department and your employees.

Risk Management
Minimize potential conflicts of interest with an enhanced trade confirmation review process.

Leading-Edge Technology
Our data-exchange software streamlines employee personal trade surveillance and helps you automate the review process, eliminating paper trade confirmations. Experience an online demonstration of our technology at www.schwabdesignatedbrokerage.com/schwablink.

Dedicated Service Teams
Dedicated teams of technology, operations and relationship management professionals provide ongoing support and services.

Unwavering Integrity
Feel confident about the offering to your employees at preferred rates, if applicable. Provide them access to objective guidance and advice, as well as the full spectrum of Schwab services from brokerage to wealth management.