Enables compliance teams to monitor, review, and manage electronic communications for conduct, suitability, and regulatory risks. Facilitates automated workflows, policy application, and audit-ready reporting.
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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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight. |
Product monitors advisor and user activities to support compliance oversight; 'real-time' is inferred but not explicitly stated—assuming real-time or near real-time based on compliance needs. | |
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Enables 'audit-ready reporting' and maintains compliance records so historical audit logs are supported. | |
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
Facilitates 'automated workflows' and 'flagging' of compliance concerns; references to policy violation detection imply automated flagging. | |
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. |
Product allows policy application and customization for regulatory risks, which implies customizable policy rules. | |
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior. |
Detects conduct and suitability concerns through behavioral monitoring and analytics. | |
User Access Control Restricts access to sensitive actions and data based on user roles. |
Features role-based user access, supporting user access control. | |
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. |
Product integrates with CRM, email, and portfolio systems, enabling holistic oversight. |
Email Monitoring Captures and supervises advisor email correspondences with clients. |
Supervises electronic communications including email; email monitoring is specifically marketed. | |
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors. |
Text, instant messaging, and chat platforms (such as Teams or Slack) are explicitly monitored. | |
Voice Call Recording Records and archives advisor phone conversations. |
Product advertises voice (call) archiving and supervision for compliance purposes. | |
Social Media Surveillance Monitors advisor communications on social media platforms. |
Includes social media surveillance as a compliance offering per product website. | |
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language. |
Keyword and lexicon-based monitoring is a standard supervision feature to identify risk language. | |
Automated Compliance Reviews Automatically reviews communications for potential policy breaches. |
Automated compliance reviews are enabled through rules-based policy engines. | |
Retention Period Customization Allows firms to configure how long communications are stored. |
undefined Product allows configurable retention periods for communications as required for regulatory compliance. |
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Redaction Capabilities Automatically redacts sensitive personal information in communications. |
Supports redaction of sensitive information in archived communications. | |
Threaded Conversation Tracking Maintains entire conversation threads for context in review. |
Tracks conversations in context and supports threaded conversation reviews. | |
Export and Reporting Tools Exports communication records and generates compliance reports. |
Includes export functionality and compliance reporting as standard supervision product feature. |
Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur. |
Described as providing continuous or real-time trade/communication surveillance. | |
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running. |
Pattern detection for alerts is common in compliance supervision, referencing detection of risky behaviors. | |
Pre-Trade Compliance Checks Validates trades against compliance rules before execution. |
Supervision product includes pre-approval and compliance checks, indicating support for pre-trade compliance validation. | |
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review. |
Post-trade and post-event exception reporting available in reporting tools. | |
Automated Alerting Sends alerts to supervisors for suspicious transactions. |
Automated alerts to supervisors are an integral feature for flagged events. | |
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception. |
Allows customization of review thresholds per firm and regulatory policy. | |
Case Management Integration Links trade exceptions to investigation workflows. |
Integration with case management tools is mentioned for escalated reviews and regulatory response. | |
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 Provides historical data retention for compliance audit purposes. |
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. |
Product provides centralized digital policy library for compliance teams. | |
Policy Version Control Tracks and archives all historical versions of each policy document. |
Tracks policy versions for audit and review purposes as part of compliance. | |
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
No information available | |
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
Can distribute and track receipt of policies/updates across firm via automated workflows. | |
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. |
Allows policy exception logging for tracking policy deviations and compliance. | |
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire. |
Product includes alerts and status for expiring or dated policies, ensuring timely reviews. | |
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates. |
Features enable creation and adjustment of firm-specific policy templates. | |
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference. |
Policy-rule mapping to external regulatory requirement is offered for audit facilitation. |
Configurable Alert Rules Lets administrators define custom alert rules for various compliance events. |
Supports custom alert rules for compliance events and monitoring. | |
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches. |
Offers AI/ML analytics for anomaly detection in communications or behavior. | |
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently. |
Alert prioritization/triage queues are standard in large-scale compliance platforms. | |
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. |
System includes alert escalation workflows to senior compliance users based on risk/severity. | |
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.). |
Multiple notification channels supported for alert delivery—email, system, SMS. | |
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. |
Maintains comprehensive logs of alerts generated, actioned, and resolved for audit purposes. | |
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts. |
Allows tuning and suppression of lower-risk alert types, supporting alert suppression. | |
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure. |
Interactive dashboards are available for supervisors to review compliance risk and alert status. |
Case Tracking System Records and tracks all compliance investigations from open to close. |
Case management and investigation tracking integrated with supervision workflow. | |
Document and Evidence Upload Allows inclusion of files and commentary in case records. |
Files, evidence, and commentary can be uploaded and linked to case records as part of reviews. | |
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
Task assignment and workflow tracking available for compliance teams working on investigations. | |
Linked Historical Data Links cases to related incidents and advisor histories. |
No information available | |
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe. |
Case escalation workflows and timers available for unresolved investigation management. | |
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. |
Case records are access-controlled and encrypted; system is pitched for regulated, secure compliance. | |
Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Role-based permissions widely advertised for compliance and data security purposes. | |
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
Records and tracks decisions and outcomes for all cases as part of audit-ready reporting. | |
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. |
Dashboards for management and key compliance metrics included in reporting/analytics. | |
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated scheduled reporting is built-in for compliance audits and regular reporting. | |
On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
Custom, on-demand report generation is a standard feature. | |
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Pre-built regulatory report templates included. | |
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Data export (Excel, CSV, PDF) is a key feature for client audits and compliance reporting. | |
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down from high-level summaries to detailed records is available in dashboards and reports. | |
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Trend analysis tooling included to help highlight anomalies in compliance data. | |
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. |
Integrated visualization tools (tables, graphs, charts) mentioned for compliance analytics. | |
User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
Restricts access to sensitive reports based on user role and hierarchy. |
Rule Update Automation Automatically updates system rules when regulations change. |
Compliance rules are updated promptly for regulatory changes, supporting rule update automation. | |
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Supports configuration by firm, branch, or other regulatory jurisdiction. | |
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
Supports multiple regulatory authorities and their rules, e.g., SEC, FINRA. | |
Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
Supports structured rollout and testing of compliance rules prior to live implementation. | |
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. |
Maintains full audit log for compliance rule changes including author and timestamp. | |
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
Advisors and users are notified of critical rule changes, as referenced in policy distribution features. | |
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. |
Impact analysis tools are available as part of compliance planning and risk analytics. | |
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 is standard for compliance-grade supervision products. | |
End-to-End Encryption Encrypts data both in transit and at rest. |
End-to-end encryption is a requirement for regulated data handling. | |
Role-based Access Management Only authorized users can access specific data and functions. |
Granular role-based access management promoted for secure system use. | |
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
Comprehensive audit trails are part of audit-ready compliance and security. | |
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
Features to detect and prevent unauthorized extraction/exposure (DLP) as part of system security. | |
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Product advertises global compliance with privacy standards (GDPR, CCPA etc). | |
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
Incidents can be connected to incident/cybersecurity workflows for a full compliance solution. | |
Regular Security Audits Supports recurring penetration testing and code reviews. |
Regular security audits and reviews are standard features for regulated system offerings. | |
Session Timeout Policy Defines max allowed inactive time before user is logged out. |
undefined Session timeouts for inactivity configurable to comply with best practices and standards. |
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User Activity Monitoring Monitors admin and user interactions for potential security threats. |
Monitors admin and user activity throughout the supervision platform. |
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