ComplySci for the Financial Securities Industry
Use Cases and Deployment Scope
ComplySci tracks all outside security transactions for the firm. All transactions must be pre-approved
Pros
- Monitor all trading activity and report transactions not approved
- Provide detail reports on individual trading activity and approvals received
Cons
- Monitoring other platforms if accounts are opened at other firms for the same individuals registered with the current firm.
Likelihood to Recommend
Any regulated firm where monitoring of outside accounts is required.
