Compliance

Evidence, not assurances.

Wealth managers are increasingly expected to show how a quote was sourced, compared and selected. Synthetix produces that record as a by-product of doing the work.

Last updated August 2026

Full lifecycle record

Audit-ready

Original request, extracted parameters, outbound issuer messages, inbound replies and the final ranked comparison — time-stamped and tamper-evident.

Supervised automation

Human in the loop

Low-confidence extractions are held for confirmation rather than sent. The desk stays the decision-maker on anything the agent is unsure about.

No transaction economics

Commercial neutrality

A flat per-seat subscription. No spread, ticket fee or issuer-side incentive, so our revenue does not move with your flow.

Supporting best execution

Manual RFQ workflows make price comparison hard to evidence: the request lives in a chat thread, the quotes arrive in separate portals, and the reasoning behind the final choice is rarely written down anywhere.

Because Synthetix sends the request and receives the replies, the comparison is captured automatically — including issuers that were asked and did not respond. The record is intended to support internal supervision and external review without adding administrative work for the RM.

Where responsibility sits

Synthetix is a software layer. We are not a broker, dealer or intermediary; we do not hold client assets, execute trades, or receive any part of the economics of a transaction. Suitability, product governance and the decision to trade remain entirely with the desk and its regulated entity.

Why commercial neutrality matters

Aggregator models that monetise through hidden spreads, volume-linked fees or issuer-side incentives create a structural tension between platform revenue and client outcomes.

Flat per-seat subscription, priced on software usage rather than flow
No transaction, volume or ticket fees of any kind
No issuer-side rebates, listing fees or preferential routing
Custodian retrocessions and pricing yield stay entirely with the desk

Records and retention

Retention periods are agreed with each desk to fit its own record-keeping obligations. Records are exportable, so the desk's regulated entity holds a copy independent of us. Where a desk instructs deletion, we delete on the agreed schedule except where we are required to retain data by law.

Due diligence

We expect vendor risk assessment and are happy to complete questionnaires, provide architecture detail under NDA, and discuss controls with your compliance function. Our security page covers technical controls and certification status. For anything else, write to hello@synthetix.systems.

Status

Synthetix is in private beta and operating under supervised pilot conditions. Nothing on this page describes a regulatory authorisation, and none is claimed.