Oracle Financial Services Broker Compliance

Gain Critical Insight into Suspicious Behavior

Enables investigators to focus on the highest risk activities, reduce false positives, automate supervision and surveillance, and streamline oversight and controls.

  • Oracle Financial Services Broker Compliance
  • Comprehensive instrument coverage
  • Prebuilt scenarios and detection techniques
  • Adaptability to industry regulatory changes
  • Extensive monitoring of suitability and customer risk concerns
  • Complete documentation, workflow, and audit trail
  • Provide proactive views of Customer and Relationship Manager activity
  • Increase customer satisfaction and loyalty
  • Improve regulator relationships
  • Extend compliance process efficiencies with a configurable platform
  • Reduced time to market and cost of compliance
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