Brokerage Compliance Solutions | Retail Surveillance

Actimize Retail Surveillance enables comprehensive, enterprise-wide compliance over a broad range of retail sales practices relating to Know Your Customer and Suitability requirements.

	Ranked as “Leader” by Celent Wealth Management Vendor Review

	Peer-developed analytics and rules, with 100+ years of combined on-staff expertise

	Comprehensive toolset to enable automation of sales practices compliance processes

Sales Practices and Suitability

Ensures sales practices compliance across the organization by monitoring transactions, accounts, sales representatives and branches. Enables comprehensive compliance across the organization and over a broad range of Know Your Customer and Suitability issues.

Key Benefits of Actimize Retail Surveillance

Financial firms must identify sales activity issues and record actions in a timely manner to meet ongoing regulatory requirements. Dozens of institutions have chosen Actimize Retail Surveillance to carry out these tasks and:

	Achieve comprehensive coverage Provide oversight for a broad range of retail activities and products, including:
	Suitability / Know Your Customer Mutual fund switching Break point sales Option transactions Annuities Branch / Broker review Registrations
	Enhance staff efficiency Reduce false positives and focus investigators on highest risk activities with advanced scorings algorithms. Enable supervisor efficiency and streamline investigations with automated branch and broker supervision, centralized risk case management and comprehensive oversight to quickly assess the overall effectiveness of company policies and procedures.

	Leverage industry best practices On-staff subject matter experts with 100+ years of combined global experience, plus insights from client advisory councils of leading financial institutions, ensure the Actimize solution remains at the forefront of functionality and compliance best practices.

	Reduce total cost of ownership Deploy rapidly with best practice methodologies and leverage a common platform across the enterprise, reducing long-term costs of infrastructure, deployment, training and support. Enable analysts to easily modify scenarios and build new ones as the regulatory environment and business needs change.

Retail Surveillance

Sales Practices and Suitability

Key Benefits of Actimize Retail Surveillance

Achieve comprehensive coverage

Enhance staff efficiency

Leverage industry best practices

Reduce total cost of ownership