Risk And Compliance Intelligence Suite

Expectations for transparency, regulatory efficiency, and oversight are intensifying as regulators look to prevent market manipulation, protect national security, and improve investor confidence. Surveillance and notification tools can help protect your reputation and profitability.

Risk and regulatory surveillance – especially as it relates to anti-money laundering and fraud detection, broker-dealer supervision, investment suitability, and portfolio analytics – is key. Our suite of tools supports a broad range of monitoring and reporting needs across multiple lines of business. It leverages an extensive library of pre-configured tests, utilizes data analytics to help deliver more targeted results, and provides workflow, case management, and archiving capabilities, to help you to meet certain compliance obligations and mitigate your business risk.

Featured Insights
  • Risk and Compliance Intelligence Suite Recognized by NICSA for Innovation in Product Development
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  • The Rise in Senior and Vulnerable Investor Abuse: Optimizing Fraud Surveillance and Detection
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  • Protecting Your Most Vulnerable Investors from Financial Abuse
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