Compliance

Why Compliance Matters

Market data compliance is one of the most underestimated risks in financial services. The contractual obligations governing how data is accessed, used, and distributed are complex, highly specific, and subject to frequent change. Firms that fail to maintain proper controls face the very real prospect of vendor or exchange audits — which can result in substantial financial penalties, lengthy remediation processes, and significant reputational damage.

At Sprada, we understand these complexities from the inside. Our compliance services are designed to protect your firm, close existing gaps, and build a framework that keeps you ahead of your obligations.

Comprehensive Compliance Reviews

We conduct meticulous reviews of your adherence to all relevant regulations, vendor policies, and exchange requirements. Our assessments identify gaps, mitigate risks, and provide a clear roadmap for strengthening your compliance posture — before an auditor comes to you.

Audit Preparation and Support

When a vendor or exchange audit is initiated, preparation is everything. We specialise in getting organisations audit-ready: organising records and systems, conducting pre-audit assessments, identifying and resolving exposure points, and providing strategic support throughout the audit process.

Navigating Vendor and Exchange Policies

Market data policies are dense, detailed, and change frequently. We provide policy interpretation, compliance framework development, and ongoing monitoring to ensure your organisation remains aligned with the latest requirements across all your data relationships.

By partnering with Sprada, you gain the confidence that your compliance framework is solid, comprehensive, and built to adapt. Get in touch to discuss your current compliance posture.