Personal Account Dealings

Today's compliance managers have a very difficult job to do. In addition to spending hours going through pre-trade emails (trying to spot any patterns in that data that might help them to prevent inside fraud), they also need to monitor their employees to ensure they are accurately reporting any gifts they've received.

Few firms would want the bad press or associated loss in revenues that internal fraud can cause, not to mention the steep fines imposed by the FSA for non-adherence to the Bribery and Corruption Act.

Examiner

In addition to keeping track of all pre-trade dealing, Examiner uses clever reporting technology to help you to detect fraudulent techniques such as ‘front running’. Created especially for the personal account dealing market, Examiner will not only reduce your reliance on manual procedures, but will also mitigate regulatory and reputational risks. Learn More