Rules and regulations change seemingly daily. How can your business ensure that it’s keeping in line with changes and avoid headaches when it’s audit time? Easy: EAI’s compliance management solution.
With EAI’s compliance technology, you can rest easy knowing that every transaction is monitored against a variety of compliance rules accurately and securely. Featuring advisor-license tracking, suitability profiling, mass trade review — and much more — your business can be assured that each step receives the review it requires.
By seamlessly aggregating data from multiple systems and sources into a single application, you’ll be able to manage your business risk efficiently and confidently. No more manually tracking compliance alerts and long hours spent working with unwieldy spreadsheets.
And, when regulations change, we will help you quickly adjust the monitoring tools, ensuring swift and accurate compliance across your lines of business and systems.
Prepping for an audit? No problem. Prepare at a lightning pace and impress the regulators by effortlessly running reports of your compliance alerts and how you’ve mitigated them, all with a simple click.
Our products work with any data source, including proprietary. We also partner with a broad variety of clearing houses and investment providers, including National Financial Services, Pershing, DTCC, LPL,DAZL, FINRA WebCRD and many more.
FORMS AND REPORTING
“We have gone through several FINRA audits, I’ve never seen a FINRA issue that EAI didn’t catch.”