When it comes to personal account dealings or employee trades, having accurate data
is one of the most essential elements to ensuring compliance.
Without it, you will likely struggle to monitor employee trades and ensure compliance with your financial advisory firm’s policies and procedures.
Which, in the worst cases, can leave you open to potential fines and penalties.
So, how do you ensure accurate data is fed into your regulatory compliance system, tracking all employee trades against preclearance requests? Direct broker feeds.
Download this guide to:
- Discover how direct broker feeds can aid your compliance team in their efforts to build an effective, accurate program
- Learn more about the benefits of direct broker feeds for your employees
- Explore three case studies, which highlight the coverage (and benefits) offered by 300+ direct global broker feeds