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
 
 
 
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Overview
  • Monitor customer suitability, trading abuse, and sales practices
  • Identify problematic practices related to firm interaction with customers
  • Alert analysts and investigators of found behaviors
  • Provide a context of business data and historical information
  • Achieve quicker time to compliance
Benefits
  • Reduces false positives
  • Improves fee/commission breakpoint compliance
  • Accurately represents aggregated position values
  • Shows how account activity is related to customer investment objectives
  • Avoids potential violations by monitoring higher-risk brokers
 
 
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