EMPLOYEE TRADING COMPLIANCE FOR FINANCIAL SERVICES FIRMS
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20 December 2022
Employee trading compliance becomes more challenging as volumes grow. Analysts frequently spend too much time manually inputting data, chasing missing statements, or reconciling. Xceptor provides a solution that automates the capture of broker statements and extracts and validates the data simplifying the compliance process.
In this session, you will find out how to:
- Easily add/onboard new employees or brokers
- Extract all the necessary data from employee broker statements apply business rules and manage exceptions
- Communicate with employees to resolve issues
- Automatically chase missing statements
- Update internal systems
Asia-Pacific, EMEA, LATAM, North America