The Broker Compliance Suite popup — 4 tools, one interface.
Broker Compliance Suite — Complete User Guide
4 tools · one license · all formulas & calculations explained
Version 1.0 · Updated 2026
The Broker Compliance Suite brings together four purpose-built tools for broker compliance teams, compliance officers, and risk managers. From marketing creative scanning to IB/affiliate monitoring, regulatory change tracking, and dual-entity routing checks — everything you need to maintain compliance across jurisdictions.
Nothing here connects to a live regulatory feed or scrapes anything automatically — you review the material and log the findings, and this suite structures that work into a consistent, auditable record.
What Is the Broker Compliance Suite?
The Broker Compliance Suite is a Chrome extension that brings together 4 essential compliance tools into one unified interface. Every tool works with manual entry — no automatic regulatory data scraping — and stores all data locally in your browser.
This is the toolkit for compliance teams at brokers and IBs who need to review marketing copy, track affiliate submissions, monitor regulatory changes across jurisdictions, and ensure clients are routed to the correct legal entity.
Who Should Use This Suite?
- Compliance officers — reviewing marketing materials and affiliate creative for regulatory compliance.
- Risk managers — ensuring clients are routed to the correct legal entity for their country.
- Legal teams — tracking upcoming regulatory changes across multiple jurisdictions.
- IB/Affiliate managers — monitoring affiliate submissions and their compliance status over time.
- Anyone who needs an auditable compliance record — without paying for expensive enterprise compliance software.
Why You Can Trust the Broker Compliance Suite
🔒 Trust built in Transparent logic, local data, and a proven track record.
Every rule and calculation in this suite is documented and verifiable. All data stays local in your browser — no external servers, no data collection. The only network call is optional Gumroad license verification.
Battle-tested scanning
The keyword-scanning engine was tested against 3 scenarios (compliant text, missing-required, prohibited-phrase) before integration, and re-verified after.
Documented logic
Every rule and routing check is transparent and verifiable — no black-box algorithms.
100% local storage
All your compliance data (scans, affiliate submissions, regulatory entries, client routing) stays in your browser.
No hidden data collection
Minimal permissions — only storage and alarms. No browsing history access, no tab snooping.
Why Use This Suite? (Key Benefits)
All 4 Tools — Detailed Guides
Each tool below includes its audience, formula (where applicable), key benefit, and a worked example.
1. Marketing Creative Compliance Scanner
Why use it? Paste marketing copy to check for required disclaimers and prohibited phrases — catch compliance issues before they go live.
Key benefit: One-click scan of any marketing text, with a clear Pass/Fail result and a list of exactly what's missing or prohibited.
formula
Required: "risk of loss", "past performance"
Prohibited: "guaranteed profit", "risk-free"
Text: "Trading involves risk of loss. Past performance does not guarantee future results."
Result: Passed — all required present, no prohibited found.
Text: "Get guaranteed profit with our risk-free system."
Result: Failed — missing "risk of loss", contains "guaranteed profit" and "risk-free".
2. IB/Affiliate Creative Compliance Monitor
Why use it? Scan and log each affiliate's creative submissions over time — track which affiliates consistently pass or fail.
Key benefit: Per-affiliate compliance history, making it easy to spot repeat offenders and audit your IB program.
logic Uses the same keyword-scanning engine as the Marketing Scanner, but logs results per affiliate.
Affiliate: "TradingPros"
Required: "affiliate", "compensated"
Prohibited: "we execute your trades", "we are the broker"
Submission 1: "We are a compensated affiliate partner." → Passed
Submission 2: "We execute your trades through our advanced platform." → Failed — contains prohibited phrase.
The affiliate's history shows 1 Pass, 1 Fail — a pattern worth reviewing.
3. Multi-Jurisdiction Regulatory Change Tracker
Why use it? Log known regulatory changes across jurisdictions you operate in — and never miss a compliance deadline.
Key benefit: Color-coded countdown (red ≤7 days, yellow ≤30 days, green >30 days) so you know exactly what needs attention.
formula Days Until = Effective Date − Today
Jurisdiction: FCA (UK)
Description: "New financial promotions rules"
Effective Date: July 1, 2026
Today: June 15, 2026 → Days until: 16 → Approaching
Today: June 28, 2026 → Days until: 3 → Urgent
4. Dual-Entity Routing Checker
Why use it? Flags clients routed to the wrong legal entity for their country of residence — a common compliance breach.
Key benefit: Instantly see which clients are mis-routed and need corrective action.
formula Mismatch = Assigned Entity !== Expected Entity
Client: "Smith Trading"
Country: GB → Expected: UK Entity (FCA)
Assigned: US Entity (NFA) → MISMATCH
Client: "Jones Capital"
Country: AU → Expected: AU Entity (ASIC)
Assigned: AU Entity (ASIC) → Correct
Key User Pain Points & How This Suite Solves Them
Marketing Scanner catches missing disclaimers and prohibited phrases before they go live.
IB Monitor logs every submission per affiliate — spot repeat offenders quickly.
Regulatory Change Tracker shows countdowns so you know what's urgent.
Routing Checker flags mismatches instantly — no more manual cross-referencing.
Why Upgrade to Monthly Pro?
🚀 Unlock the full power of all 4 tools
The free tier gives you core functionality forever. But if you're serious about compliance, the Pro plan removes all limits and gives you advanced capabilities.
🆓 Free
- ✅ All 4 tools (core)
- ✅ Limited history (50 entries)
- ✅ 5 affiliates tracked
- ✅ Manual entry only
⭐ Pro
- ✅ Unlimited history
- ✅ Unlimited affiliates
- ✅ Advanced audit reports
- ✅ Priority support
📈 ROI
- 💸 $99+/mo (B2B pricing)
- ⏱️ Saves 10+ hours/week
- 🛡️ Prevents compliance breaches
- 📋 Auditable record
14‑day free trial included · cancel anytime
Pricing: Free vs. Monthly Pro
- All 4 tools (core)
- 50-entry history
- 5 affiliates tracked
- Manual entry
- Unlimited history
- Unlimited affiliates
- Advanced audit reports
- Priority support
One Pro subscription covers all 4 tools. Get your license at muhiuddinalam.gumroad.com/l/lgzsoh.
Data Privacy, Performance & Permissions
- 🔒 Local‑only storage: All data (scans, affiliate submissions, regulatory entries, client routing) is stored exclusively in your browser using
chrome.storage.local. - ⚡ No background scraping: The extension only runs when you interact with it — no automatic data collection.
- 🛡️ Minimal permissions: Only
storageandalarms— no browsing history access. - 🧪 Tested accuracy: All scanning and routing logic has been tested against real-world compliance scenarios.
Common Mistakes to Avoid
Fix: The Regulatory Change Tracker is a manual log — you must enter changes you observe from official regulator sources.
Fix: The default rules are illustrative — edit them to match your actual entity structure before relying on them.
Fix: The scanner is a first-pass tool — always have a compliance officer review borderline cases.
- ⚠️ Required phrases: Enter them comma-separated. The scan is case-insensitive but exact match.
- ⚠️ Prohibited phrases: Same rules — exact match, case-insensitive.
- ⚠️ Routing rules: The "Default" rule applies to any country not explicitly listed.
- ⚠️ Regulatory dates: Use YYYY-MM-DD format for accurate countdowns.
Frequently Asked Questions
Does this connect to any regulator or regulatory database?
No. The Broker Compliance Suite is a manual-entry tool. It doesn't connect to any regulator, register, or live data feed. You review the material and log the findings — this suite structures that work into a consistent, auditable record.
Can I use this for non-broker compliance work?
Yes — the tools are general-purpose compliance utilities. The Marketing Scanner works for any marketing copy, the Affiliate Monitor works for any partner program, the Regulatory Tracker works for any jurisdiction tracking, and the Routing Checker works for any entity mapping.
How accurate are the scans?
The scanner is a keyword-based engine — it catches exact matches of required and prohibited phrases. It won't catch implied meanings or synonyms. Always have a compliance officer review borderline cases.
What happens if I uninstall the extension?
All data (scans, affiliate submissions, regulatory entries, client routing) is removed from your browser. If you have a Pro license, you can re-enter your key after reinstalling to restore access.
Can multiple people use this suite?
The extension stores data locally per browser. If your compliance team uses Chrome on shared devices, each user has their own data. For a team workflow, consider a dedicated compliance machine or use the Pro export feature to share reports.
Ready to streamline your compliance work?
14-day free trial · $99+/mo covers all 4 tools · cancel anytime
Get Monthly Pro → Install Free on Chrome Web Store →Broker Compliance Suite · Version 1.0 · All tools share one license · Get Pro on Gumroad
