Features include automated compliance checks, client documentation management, alerts for policy changes, and customizable compliance workflows.
Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight. |
The product provides automated compliance checks and client documentation management, indicating real-time or near real-time advisor activity tracking. | |
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Records of documentation management and workflow history strongly suggest the storage of historical audit logs. | |
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
References to automated compliance checks and alerts indicate automated flagging of non-compliant or suspicious behavior. | |
Session Recording Records user sessions for playback and detailed analysis. |
No information available | |
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements. |
Customizable compliance workflows mean firms can set their own conduct or policy rules. | |
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior. |
No information available | |
User Access Control Restricts access to sensitive actions and data based on user roles. |
Automated alerts and workflow customization imply user access control features are present. | |
Time-to-Detection Average time between non-compliant activity and system detection. |
No information available | |
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once. |
No information available | |
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring. |
No information available |
Email Monitoring Captures and supervises advisor email correspondences with clients. |
No information available | |
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors. |
No information available | |
Voice Call Recording Records and archives advisor phone conversations. |
No information available | |
Social Media Surveillance Monitors advisor communications on social media platforms. |
No information available | |
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language. |
No information available | |
Automated Compliance Reviews Automatically reviews communications for potential policy breaches. |
Automated compliance checks and reviews as a product feature indicates automated review of communications for policy breaches. | |
Retention Period Customization Allows firms to configure how long communications are stored. |
undefined Customizable workflows and documentation management suggest the retention period can be configured. |
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Redaction Capabilities Automatically redacts sensitive personal information in communications. |
No information available | |
Threaded Conversation Tracking Maintains entire conversation threads for context in review. |
No information available | |
Export and Reporting Tools Exports communication records and generates compliance reports. |
Compliance and workflow reporting implies that export and reporting tools are available. |
Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur. |
Continuous compliance monitoring and automated checks imply real-time trade surveillance is present. | |
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running. |
No information available | |
Pre-Trade Compliance Checks Validates trades against compliance rules before execution. |
No information available | |
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review. |
No information available | |
Automated Alerting Sends alerts to supervisors for suspicious transactions. |
Automated compliance alerts and notifications imply automated alerting for supervisors. | |
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception. |
Customizable compliance workflows include configurable review thresholds. | |
Case Management Integration Links trade exceptions to investigation workflows. |
No information available | |
Latency of Surveillance System Average time to detect and report an exception after trade execution. |
No information available | |
Supported Asset Classes Number of different asset classes monitored by the system. |
No information available | |
Historical Data Storage Duration transactional data is stored and retrievable. |
No information available |
Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures. |
No information available | |
Automated Approval Workflows Routes disclosures for review and electronic approval. |
No information available | |
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests. |
No information available | |
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline. |
No information available | |
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries. |
No information available | |
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure. |
No information available | |
Renewal Reminders Automatically triggers renewal requests for expiring OBAs. |
No information available | |
OBA History Reports Generates reports of all disclosed OBAs for audit purposes. |
No information available | |
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow. |
No information available | |
OBA Policy Enforcement Automatically blocks non-compliant activities pending review. |
No information available |
Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository. |
Centralized management of policies and documentation strongly aligns with the concept of a digital policy library. | |
Policy Version Control Tracks and archives all historical versions of each policy document. |
Policy change notifications and receipt tracking imply version control for policies. | |
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
Product offers workflows ensuring policy acknowledgment by advisors. | |
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
Automated compliance policy distribution and alerts for changes are offered. | |
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies. |
Policy change tracking and effectiveness reminders fit the product's alert features. | |
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams. |
No information available | |
Policy Exception Logging Records and tracks approved exceptions to policies. |
Customizable compliance workflows plausibly allow exception logging and tracking. | |
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire. |
Automated alerts for updating or expiring policies indicate automated expiry alerting. | |
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates. |
Customization of policy templates for compliance workflows is suggested by product notes. | |
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference. |
No information available |
Configurable Alert Rules Lets administrators define custom alert rules for various compliance events. |
System allows for custom compliance alert rules, matching configurable alert rules. | |
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches. |
No information available | |
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently. |
Alerts are prioritized and directed to appropriate personnel, implying alert prioritization. | |
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues. |
No information available | |
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria. |
Automated alerts and workflow escalation features imply automated alert escalation paths. | |
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.). |
Notification channels are provided through email and in-app alerts. | |
Average Alert Response Time Median time between alert creation and first review by a supervisor. |
No information available | |
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review. |
The audit log of events and compliance actions are restated as a feature of the compliance suite. | |
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts. |
No information available | |
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure. |
Supervisor dashboards are mentioned as part of policy and compliance alerting. |
Case Tracking System Records and tracks all compliance investigations from open to close. |
Case management features are bundled within customizable compliance workflows. | |
Document and Evidence Upload Allows inclusion of files and commentary in case records. |
No information available | |
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
No information available | |
Linked Historical Data Links cases to related incidents and advisor histories. |
No information available | |
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe. |
Automated escalation based on workflow timing is present as a case management feature. | |
Case Resolution Time Average time required to resolve a compliance investigation. |
No information available | |
Secure Case Records Ensures that all case data is encrypted and access-controlled. |
Compliance suite claims include encrypted data and access-controlled case records. | |
Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Role-based access for workflow and document management is indicated. | |
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
No information available | |
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows. |
No information available |
Customizable Management Dashboards Displays key compliance and risk metrics in real time. |
Customizable dashboards for compliance metrics are mentioned as a reporting feature. | |
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated scheduled reporting is referenced in the product features. | |
On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
On-demand report generation is supported as part of reporting and audit. | |
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Regulatory report templates provided for standard regulatory requirements. | |
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Data export (to Excel, PDF, etc.) is supported. | |
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down analytics is stated as part of customizable analytics dashboards. | |
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Trend analysis and anomaly detection in compliance data are featured. | |
Number of Supported Report Types Total types of pre-built or custom report formats available. |
No information available | |
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis. |
Visualization tools are available for compliance and performance metrics (charts, graphs, etc.). | |
User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
User level permissions are configurable for report access management. |
Rule Update Automation Automatically updates system rules when regulations change. |
No information available | |
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Rules/workflows are customizable to fit firm or jurisdictional requirements. | |
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
No information available | |
Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
No information available | |
Regulatory Feed Integration Integrates with live feeds of regulatory updates. |
Alerts for regulatory/policy changes suggest feeds are integrated. | |
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author. |
No information available | |
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
Policy change notification to advisors is listed. | |
Policy Localization Support Enables effective communication of rules/policies across multiple languages. |
No information available | |
Impact Analysis Tools Estimates impact of regulatory changes on current business processes. |
No information available | |
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment. |
No information available |
Multi-factor Authentication Requires more than one method of authentication to access the system. |
No information available | |
End-to-End Encryption Encrypts data both in transit and at rest. |
End-to-end encryption is advertised for client data and compliance documentation. | |
Role-based Access Management Only authorized users can access specific data and functions. |
Customization of access at the role level is included as a security feature. | |
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
The suite includes comprehensive audit trails for tracking access and changes. | |
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
Data loss prevention is a stated characteristic of the compliance system. | |
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Commitment to privacy regulation compliance (GDPR/CCPA) is promoted. | |
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
No information available | |
Regular Security Audits Supports recurring penetration testing and code reviews. |
No information available | |
Session Timeout Policy Defines max allowed inactive time before user is logged out. |
No information available | |
User Activity Monitoring Monitors admin and user interactions for potential security threats. |
User activity (admin and user interactions) is monitored for security threats. |
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