Go-live checklist

Securitize Markets is the broker-dealer of record, so the way prices and disclosures reach investors in your interface is its regulatory exposure too. Before production, confirm each item in sandbox, then pass the compliance UI audit.

#	Check	How to confirm it
1	An investor goes from onboarding to a first trade: SecId create and submit, suitability (and the DLT test in the EEA), wallet link, price, prepare, sign, submit	Run Prepare an investor to trade and Trade a stock end to end
2	`UNAUTHORIZED_INVESTOR` leads the investor back to the SecId step that is missing, never to a dead end	Product review against Errors
3	The agreement message is signed verbatim, and the investor sees it before signing	Product review
4	The real-time price is fetched for the order ticket on a fixed cadence, and only while it is open	Code review against Prices and market data
5	Any screen not tied to one eligible investor uses the delayed price, labelled as delayed	Product review
6	Prices are shown as best bid, best offer and last sale with their venues, not as a derived NBBO	Product review
7	`EXPIRED_PRICE` fetches a new price and prepares again, and the investor confirms the new price	Code review
8	The prepared transaction is signed unchanged, signed only (never broadcast by the wallet), and submitted within 120 seconds	Code review against Trade a stock
9	Each prepared transaction is submitted once; `TRADE_IN_PROGRESS` is never followed by a resubmission	Code review
10	The outcome is read from the transaction on chain, and a reverted order is shown as not executed	Code review
11	`minOutputAmount` is computed from the quote and the investor’s slippage, in base units	Code review against Working out minOutputAmount
12	The required disclosures are in your screens, placed as agreed; the best execution acknowledgement sits on the order confirmation	The compliance UI audit
13	The API key is only in your backend’s secret store, never in frontend code or logs	Secret scan
14	Every non-2xx response is logged with its status and `message`	Log review

The compliance UI audit

Before you go live, Securitize’s compliance team audits your live screens. It checks that what investors see meets what regulators expect of Securitize Markets as the broker-dealer of record:

What is audited	What it checks
Disclosures	Terms of service, risk disclosures, best execution and the customer relationship summary are all present, and placed where agreed: the best execution acknowledgement on the order confirmation
Market data	The NBBO and the other quote data are shown as required: best bid, best offer and last sale with their venues, real-time data only to the eligible investor it was requested for, and delayed data labelled as delayed
The order confirmation	The price, the amounts and the terms the investor accepts by signing are on screen when they sign

Securitize shares what it looks at ahead of time. Ask your Securitize contact to schedule the audit once the checks above pass in sandbox; production access follows its approval. A later change to these screens goes through the audit again.

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The compliance UI audit