SIFMA - CapitalROCK, LLC - Product - Post-Transaction Monitoring Modules

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Artificial Intelligence & Machine Learning, Compliance Software

Post-Transaction Monitoring Mo...

Overview

Post-Transaction Monitoring

Validate transactions to ensure consistancy with pre-transaction requirements and post-transaction suitability.

Over fifty broker-dealers use RightBRIDGE systems pre-transaction to score, risk rate, and document the actions taken by their financial professionals. Regulations such as Reg BI, DOL rules, and Prohibited Transaction Exemptions such as 2020-02, as well as other state regulations shift much of the compliance and suitability requirements to the pre-transaction process. RightBRIDGE essentially acts as a pre-transaction monitoring system.

Having a consistent pre and post transaction compliance process allows firms to validate pre-transaction requirements once a transaction is completed. RightBRIDGE customers experience significantly fewer flags and issues post-transaction due to the monitoring that takes place before the transaction. However, further monitoring of transactions is required after they are made. This has created a need in the marketplace to synchronize the work RightBRIDGE performs pre-transaction with the reporting and monitoring that occurs post-transaction.

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