Oracle Mantas Broker Compliance

Oracle Mantas Broker Compliance monitors sactivities across the enterprise, providing insight into suspicious behavior. It leverages the tools needed to effectively accelerate an organization's time-to-market in implementing a compliance monitoring solution.

With Oracle Mantas Broker Compliance, your organization can monitor customer suitability, trading abuses, and broker selling practices, to identify problematic activities related to customer interactions. It alerts analysts and investigators with a context of business data and historical information with which they can streamline analysis and resolution.

To identify behaviors of interest or potentially suspicious behavior, Oracle Mantas Broker Compliance leverages the Oracle Mantas Behavior Detection Platform — a robust and comprehensive list of trading behavior scenarios. Oracle Mantas Broker Compliance monitors investment suitability, trading irregularities, and broker sales practices.

• Reduces false positives
• Improves fee/commission breakpoint compliance
• Accurately represents aggregated position values
• Helps you understand how account activity is related to established customer investment objectives, risk/return appetite, and profiles
• Helps you avoid potential violations by monitoring higher-risk brokers with more restrictive compliance parameters