Financial Compliance

Keep peace of mind with a solution complies with and adapts to the ever-changing financial regulatory environment.

The Finance industry is one of the most regulated with legislation such as The Dodd-Frank Act, MiFID II, MAR, and many others which are being even more stringent in their compliance requirements and increased fines and penalties for companies who fail to comply. These become even more complicated and difficult to navigate if you operate in multiple states and/or countries.

This ever-changing landscape of regulatory oversight continues to add scope and complexity along with increasing cost to maintain up-to-date compliance programs. In order to stay compliant with these requirements it is necessary to have a strategic long-term plan and take a preventative approach to handling regulations.

The way clients communicate is changing

There are more ways to communicate now more than ever before, making it even more complicated for the financial industry to monitor analyze interactions, while staying compliant. To comply with regulations and industry standards companies have the complex task of managing and analyzing is monitoring the thousands of interactions firms have each day with their customers and prospects. Every single customer conversation represents the potential for a compliance breach.

Fraud prevention

Unfortunately, fraud is still one of the biggest threats to the financial sector and it is becoming more sophisticated, which is why there is a growing demand for tools that aid in combatting this. The financial industry needs to be prepared and take a proactive approach. Finding a solution that can offer a way to better identify and prevent fraudulent activities is imperative.

Recordia eliminates the complexity of compliance in the financial sector. It complies with legal requirements, makes communications fully compatible, and streamlines business processes for organizations.

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