Solutions for Broker Dealers
Another day, another new regulation. How do you monitor every transaction across multiple business lines without missing a mistake--or spending a fortune? Simple: Compliance Surveillance technology from EAI.
Seamless. Precise. Transparent.
The key to an efficient workflow is cutting manual processing and overhead so you can be confident your data is being recorded quickly, accurately and securely every time. Our fine-tuned compliance tool does just that. With features like agent-license reporting, suitability profiling and mass trade reviewing, you can be sure each step receives the review it requires.As a standard, every EAI Compliance Module comes stock with features like:
- FINRA- and SAS 70- ready rules
- Tailored reports like the 36-Month Mailer and Patriot Act report
- Direct integration with all data
- Automatic flagging of non-compliant or unsuitable transactions
- Separate workflow for flagged trades
- Comments and extra review on questionable trades
- Agent registrations, continuing education and personal account tracking
- Diligent customer and account level audit trails
- Reports ready to run in Excel, CSV or PDF format
To learn more about how EAI can help you, call (877) 537-1507 or Request a Demo today.