There is a pressing need for solutions that deliver comprehensive information and help financial institutions make quality business decisions. Mantas Broker Compliance monitors activities 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.
Mantas Broker Compliance monitors 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. Mantas Broker Compliance leverages the Mantas Behavior Detection Platform – a robust and comprehensive list of trading behavior scenarios – to identify behaviors of interest, which are indicative of potentially suspicious behavior. Mantas Broker Compliance monitors investment suitability, trading irregularities, and broker sales practices.
Reduce false positives Improve fee/commission breakpoint compliance Accurately represent aggregated position values Understand how account activity is related to established customer investment objectives, risk/return appetite, and profiles Avoid potential violations by monitoring higher-risk brokers with more restrictive compliance parameters
