Holistic Surveillance
When surveillance detection models don’t keep pace with change, your risk increases of falling out of compliance and unnecessarily driving up compliance costs.
The new solution combines Sales Practices and Suitability, Communications Surveillance and Case Management capabilities to automate the compliance processes.
Read how you can reduce false alerts by up to 93%, and drive down compliance costs by applying machine learning and AI to communications surveillance.
As regulatory bodies step up enforcement of investment suitability regulations to ensure firms and advisors are properly managing investor wealth, how is your firm handling these technology requirements?
