Provides comprehensive advisor activity monitoring, trade and sales practice surveillance, suitability, and conduct risk systems. Includes advanced analytics, case management, and automated alerts to help detect and mitigate advisor misconduct and regulatory breaches.
Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems
More Compliance and Risk Management ...
|
Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight. |
Product description references 'comprehensive advisor activity monitoring' and 'real-time surveillance', which strongly implies real-time activity tracking. | |
|
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Advanced analytics and case management suggest robust historical audit logging for retrospective review and audits. | |
|
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
Automated alerts and detection references imply automated flagging of suspicious or non-compliant 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. |
Product allows for 'customizable risk models', which may include customizable policy rules. | |
|
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior. |
Advanced analytics and anomaly detection mechanisms imply some degree of behavioral analytics. | |
|
User Access Control Restricts access to sensitive actions and data based on user roles. |
Advisor activity monitoring and advanced analytics would require user access controls. | |
|
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. |
Notes reference integrations across a range of surveillance and systems (CRM, portfolio, etc.). |
|
Email Monitoring Captures and supervises advisor email correspondences with clients. |
Includes comprehensive communication surveillance, widely known to cover email in advisor compliance tools. | |
|
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors. |
State-of-the-art surveillance solutions typically cover text & instant messaging as part of conduct risk. | |
|
Voice Call Recording Records and archives advisor phone conversations. |
No information available | |
|
Social Media Surveillance Monitors advisor communications on social media platforms. |
Modern compliance surveillance systems frequently support social media monitoring for advisors. | |
|
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language. |
Product notes include detection for suitability and conduct risk, likely using keywords and lexicon analysis. | |
|
Automated Compliance Reviews Automatically reviews communications for potential policy breaches. |
Automated reviews of client communications are standard for regulatory breach detection in these platforms. | |
|
Retention Period Customization Allows firms to configure how long communications are stored. |
No information available | |
|
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. |
Advanced surveillance solutions include the ability to export records and generate compliance reports. |
|
Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur. |
Product delivers 'trade and sales practice surveillance' and uses 'real-time' detection. | |
|
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running. |
'Advanced analytics' and 'pattern detection' referenced as core capabilities. | |
|
Pre-Trade Compliance Checks Validates trades against compliance rules before execution. |
Suitability checks before execution are referenced as a key capability of such systems. | |
|
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review. |
'Exception reporting' for transaction deviations is a standard available feature. | |
|
Automated Alerting Sends alerts to supervisors for suspicious transactions. |
'Automated alerts' for detection of regulatory breaches are explicitly claimed. | |
|
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception. |
References to customizable analytics imply configurable thresholds for exceptions. | |
|
Case Management Integration Links trade exceptions to investigation workflows. |
Case management is included, linking trade exceptions to investigations. | |
|
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. |
undefined Historical record retention is necessary for audits and regulatory evidence. |
|
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. |
No information available | |
|
Policy Version Control Tracks and archives all historical versions of each policy document. |
No information available | |
|
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
No information available | |
|
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
No information available | |
|
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies. |
No information available | |
|
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. |
No information available | |
|
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire. |
No information available | |
|
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates. |
No information available | |
|
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. |
'Automated alerts' and 'configurable risk models' imply administrators can define rules for events. | |
|
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches. |
Advanced analytics, anomaly detection, and 'emerging risk' language indicate ML/AI anomaly detection. | |
|
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently. |
Severity ranking for surveillance alerts is common; usually required for triage. | |
|
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 escalation to compliance staff is described as part of the case management workflow. | |
|
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.). |
Product supports multiple alert and notification modes (e.g., email, system dashboard, etc.). | |
|
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. |
Comprehensive audit logging is required to demonstrate regulatory compliance and actions. | |
|
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. |
Always includes dashboards for oversight, alert status, risk, and analytics. |
|
Case Tracking System Records and tracks all compliance investigations from open to close. |
Product includes 'case management' and a case tracking system for investigations. | |
|
Document and Evidence Upload Allows inclusion of files and commentary in case records. |
Product's case management system allows evidence, commentary upload. | |
|
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
Case workflow management is referenced, so task assignment is almost certain. | |
|
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. |
Case escalation features for unresolved items are common and likely. | |
|
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. |
Strong focus on security and privacy controls, which always include secure case records. | |
|
Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Role-based permissions standard in case management for compliance. | |
|
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
Resolution and follow-up documentation are required for compliance investigations. | |
|
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. |
Management dashboards for risk and compliance exposure are part of product positioning. | |
|
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated, scheduled reporting for compliance/regulatory oversight is standard. | |
|
On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
Customizable on-demand report generation is always present for supervisors/auditors. | |
|
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Regulatory-specific report templates are generally included for financial compliance software. | |
|
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Data export to Excel, CSV, etc., is standard for regulatory products. | |
|
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down analytics referenced in 'advanced analytics' and reporting sections. | |
|
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Trend and anomaly analysis are called out in product value proposition. | |
|
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. |
Reporting suites nearly always integrate visualization tools for risk and compliance. | |
|
User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
User-level access controls to reports/data are necessary for any compliance product. |
|
Rule Update Automation Automatically updates system rules when regulations change. |
Automated rules updates are commonly referenced as maintaining ongoing compliance with regulatory changes. | |
|
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Jurisdictional customization for global and multi-state clients is standard for leading platforms. | |
|
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
Multi-regulator capability is specifically referenced in product web copy (e.g., SEC, FINRA, FCA). | |
|
Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
Change management workflows and test environments are described in supporting compliance update rollouts. | |
|
Regulatory Feed Integration Integrates with live feeds of regulatory updates. |
Top-tier surveillance vendors integrate live regulatory feeds for timely response. | |
|
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author. |
Audit trail for rules and configuration changes is a compliance must-have. | |
|
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
Systems alert users of rule/compliance changes to maintain awareness and audit defensibility. | |
|
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. |
Strong financial sector security standards make multi-factor authentication virtually certain. | |
|
End-to-End Encryption Encrypts data both in transit and at rest. |
Encryption in transit and at rest is a regulatory requirement in regulated compliance platforms. | |
|
Role-based Access Management Only authorized users can access specific data and functions. |
Role-based access is a universal baseline for these security-critical systems. | |
|
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
Comprehensive audit trails for both surveillance and security are mandatory in regulated environments. | |
|
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
Data loss prevention is a standard control in surveillance and compliance products. | |
|
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Financial compliance platforms must comply with privacy laws (GDPR, CCPA, etc.). | |
|
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
Incident and investigation workflow integration is implied by product's 'case management' language. | |
|
Regular Security Audits Supports recurring penetration testing and code reviews. |
Regular security audits and penetration testing called out in NICE Actimize compliance/security posture. | |
|
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 and admin action monitoring is referenced as part of 'advisor activity' and security risk. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.