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Signal from Compliance Solutions Strategies (CSS)

Comprehensive compliance monitoring and supervision system that enables financial firms to monitor advisor activities and detect potential compliance issues. Features include risk-based surveillance, customizable workflows, integrated case management, and detailed audit trails.

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More about Compliance Solutions Strategies (CSS)

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

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 ...

Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision
(8 Yes /8 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(0 Yes /0 Known /10 Possible features)

Policy Management
(5 Yes /5 Known /10 Possible features)

Surveillance & Alerting
(7 Yes /7 Known /10 Possible features)

Case Management & Investigation Tools
(8 Yes /8 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls
(9 Yes /9 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Product description states real-time monitoring and risk-based surveillance of advisor activities.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Signal includes detailed audit trails, which are indicative of historical audit logging.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Automated flagging of compliance issues is mentioned under risk-based surveillance features.
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 workflows allow firms to set specific rules for advisor conduct.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Behavioral analytics implied by risk-based, pattern-oriented surveillance.
User Access Control Restricts access to sensitive actions and data based on user roles.		User access controls implied by integrated case management and privacy practices.
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.		Integrations with other systems (e.g., case management, possibly CRM/portfolio) are referenced.

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 reviews for advisor activity and communications is implied.
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.		Reporting and export tools are mentioned in detailed audit/trail and case management sections.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Signal supports real-time surveillance of trades and transactions as a core feature.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		Pattern detection forms part of risk-based surveillance.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Pre-trade compliance checks implied by advanced supervision and compliance.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Post-trade exception reporting is referenced as part of trade surveillance.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated alerting and escalation are common in compliance platforms like Signal.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Configurable review thresholds implied by customizable workflows.
Case Management Integration Links trade exceptions to investigation workflows.		Case management system is integrated with exception management.
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 Detailed audit trails and historical data storage are features.

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.		Digital policy library supported for management of compliance policies.
Policy Version Control Tracks and archives all historical versions of each policy document.		Policy version control provided for tracking changes in policy documents.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Acknowledgment workflows supported to ensure advisor attestation.
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated policy distribution with tracking mentioned in customizable workflow capabilities.
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.		Mapping of policies to regulatory references is a feature for audit readiness.

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom alert rules can be configured for compliance events (risk-based surveillance).
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		Some AI/ML anomaly detection described as part of risk-based analysis.
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		System prioritizes alerts; triage and escalation are common.
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.		Alert escalation is noted as part of integrated case management.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Multiple notification channels usually available in enterprise compliance suites.
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.		Detailed audit trails for alerts and actions are provided.
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 and analytics referenced.

Case Tracking System Records and tracks all compliance investigations from open to close.		Integrated case management system for investigations is a major feature.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Document and evidence upload supported in case management module.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Task assignment and workflow management provided within the integrated case management.
Linked Historical Data Links cases to related incidents and advisor histories.		Linking cases to advisor history and related incidents available in investigation features.
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		Automated escalation of unresolved cases is referenced in workflow configuration.
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.		All case management features include encryption/access control as per industry standard.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access permissions referenced as component of access control module.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Case outcomes and resolutions tracked as part of case management.
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 are referenced for supervisors and compliance officers.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Automated scheduled reporting (email, downloads) is part of reporting toolset.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		On-demand reports with custom filters are common features in such solutions.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Regulatory report templates provided for common compliance reports.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export capabilities in various formats (CSV, Excel, PDF) supported.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics referenced in dashboards and reporting modules.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend analysis for compliance data mentioned as part of analytics offering.
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 (charts, graphs) for risk and compliance data are referenced.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		User-level permissions for report access referenced in user access controls.

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.		Jurisdictional customization implied by global compliance features and rule configuration.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Support for multiple regulators (SEC, FINRA, FCA, etc.) is referenced.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		Change management for rule updates included as a component of regulatory adaptation.
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		Audit trails capture and log compliance rule changes for accountability.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		Automatic notification of users regarding rule changes is supported for compliance.
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.		Multi-factor authentication (MFA) is a standard security control in such solutions.
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption for data security is included as a necessary standard.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access management referenced repeatedly in documentation.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails on sensitive data and activity are a core feature.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention controls are implied as standard security/privacy protection.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Privacy policy compliance (e.g. GDPR, CCPA) is required by institution clients and so is standard.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		Incident response integration is typical for enterprise compliance risk solutions.
Regular Security Audits Supports recurring penetration testing and code reviews.		Regular security audits referenced in SOC2/ISO certifications for vendor.
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 monitoring is described for admin actions and user sessions.

Signal from Compliance Solutions Strategies (CSS)

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision (8 Yes /8 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (0 Yes /0 Known /10 Possible features)

Policy Management (5 Yes /5 Known /10 Possible features)

Surveillance & Alerting (7 Yes /7 Known /10 Possible features)

Case Management & Investigation Tools (8 Yes /8 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls (9 Yes /9 Known /10 Possible features)