Tailored Coverage Across RIA/BD’s Risk Domains
Out-of-the-box detection across market abuse, cyber-enabled financial crime, advisor conduct, and suitability/Reg BI, so supervisors can act fast without heavy rule-building. No-code detection model tuning included.
Unified Oversight Across Internal & External Activity
Correlate custodian/clearing, OMS/EMS, and CRM data—ingesting via API from firms like Schwab and Pershing—to reconcile personal vs. client trades and detect potential front-running and conflicts in one integrated platform.
Universal Client & Rep Risk View
Consolidate KYC/CIP, transactions, and rep profiles into a holistic view to track risk over time, spot behavioral anomalies, and map activity to responsible advisors, surfacing patterns like churning, switching, and concentrations in high-fee or high-risk products for faster resolution and stronger oversight.
Real-Time Intervention Before Risk Escalates
Real-time alerting surfaces risk instantly—empowering supervisors to halt withdrawals and freeze compromised accounts before account-takeovers and new-account fraud escalate.
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