Broker Surveillance

Exzac can assist with automating the many various activities of broker-dealer compliance programs in order to reduce costs and save time while ensuring that FINRA and other regulatory oversight requirements are met.

Exzac has successfully implemented solutions at leading financial service institutions that capture all information associated with the broker-dealer compliance activities, create a single system of record for all broker-dealer compliance information for audit response from regulators, and retrieve data easily for testing or audit purposes and streamline approval processes.

Building upon experience in dozens of successful implementations at leading financial service institutions, Exzac can configure these solutions so that they adapt to your data and technical constraints and meet your timeline and budget requirements.

Capture all information associated with the broker-dealer compliance activities, create a single system of record for all broker-dealer compliance information for audit response from regulators, and retrieve data easily for testing or audit purposes and streamline approval processes.


Oct 11 2011
Top U.S. Bank Improves Quality

A top U.S. bank was receiving an unmanageable amount of alerts with various degrees of quality from its real-time fraud monitoring system. Data quality issues were difficult to detect and long data processing times were hindering the ability to effectively monitor fraud in real-time, exposing the bank to increased risks from fraudulent activities.

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