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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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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.
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