Making Supervisory Review Easier
to Enable Regulatory Compliance
Recorded live on May 3, 2022
Financial services firms doing business in the U.S. must supervise and monitor digital communications, such as email, to enable regulatory compliance with mandates from governing bodies like FINRA and the SEC. Whether you’re tasked with replacing your entire stack of compliance products or are just looking for modern supervision technology that really works, we offer the tools to help you build, deploy, maintain and refine an audit-ready supervision plan.
Join us for a 30-minute demo to see compliance experts navigating our intuitive supervision user interface.
You will learn how to:
- Get to the information that matters most with immediate, detailed views into high-risk offenders and violation trends over time
- Understand your review progress against pending messages in the queue
- Mark flagged items for follow up action or add additional details for review and consideration by authorized team members
- Utilize a variety of built-in reporting to help determine why items are flagging and the effectiveness of your rules