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Issues Facing Compliance Officers Today:
Learn more about the features that have made Eagle Eye a trusted compliance partner for the last 10 years.
- Advisors with unauthorized social media sites
- Advisors with unapproved or undisclosed outside business activities
- Not knowing what your registered advisors are putting online
Learn more about the features that have made Eagle Eye a trusted compliance partner for the last 10 years.
Eagle Eye monitors 44,000+ advisors across our customer base and has automatically alerted compliance supervisors on over 1.2M discoveries that warranted reviews over the past 3 years, broken down by
- 59% unapproved/unknown social media accounts
- 5% unknown/unauthorized outside business activities
- 5% unapproved/unknown websites or blogs
- 31% other
- 59% unapproved/unknown social media accounts
- 5% unknown/unauthorized outside business activities
- 5% unapproved/unknown websites or blogs
- 31% other
Eagle Eye is a more effective solution for Issues Facing Compliance
Eagle Eye eliminates time consuming, ineffective, manual search processes with easy to use workflows and automated documentation. It uncovers and reduces compliance and “failure to supervise” risks while demonstrating to regulators your firm has a formalized internet supervision program in compliance with FINRA and SEC rules.
RISK-BASED REVIEWS
Some advisors have a large and aggressive web presence, signing up for profiles on sites like Yelp, WalletHub, Investopedia, Alignable or social media sites like Facebook, Twitter, LinkedIn, or Instagram. Other advisors will be more moderate in their approach to advertising and promoting themselves on the web, while some will have a small or non-existent presence online.
With such a wide breadth of risk, supervising the web effectively and efficiently can be a huge challenge, especially for large firms who need to monitor hundreds to thousands of individuals.
With such a wide breadth of risk, supervising the web effectively and efficiently can be a huge challenge, especially for large firms who need to monitor hundreds to thousands of individuals.
SECRETARY OF STATE SEARCHES
Eagle Eye can now search across all 50 states for corporate registrations associated with your advisors.
These Secretary of State reviews are integrated into Eagle Eye’s workflow and can be reviewed with other items of concern such as undisclosed social media accounts, online profiles, websites, event listings, and more.
Additionally, corporate registrations can be reviewed in a customized workflow allowing you to view findings across your organization.
Eagle Eye can now search across all 50 states for corporate registrations associated with your advisors.
These Secretary of State reviews are integrated into Eagle Eye’s workflow and can be reviewed with other items of concern such as undisclosed social media accounts, online profiles, websites, event listings, and more.
Additionally, corporate registrations can be reviewed in a customized workflow allowing you to view findings across your organization.
RELEVANT RESULTS
Eagle Eye is designed with built-in intelligence that searches and sifts through the web’s billions of pages of clutter bringing only the most relevant results to your attention. Our multi-query processes and dynamically designed algorithms provide more accurate search results for you to quickly review.
Do you know what your advisors have put online?
Do you know what your advisors have put online?
AUTOMATED DOCUMENTATION
With just a click, you will have everything you need including when a result was found, who reviewed it, comments that were made and timestamps on every action taken on the account. From a regulatory point of view, with Eagle Eye you will have the full story of what content looked like at the time of review, giving you everything you need to respond to a regulator. (FINRA 3110)
BLACKLISTING
Eagle Eye gives you the ability to eliminate sites or domains that aren’t relevant to your organization. With blacklisting you can quickly cut through the clutter of the web and focus on the results that are truly important to your firm.
REVIEW ONCE WORKFLOWS
Manual searches have many drawbacks, but the biggest is that you’re forced to review many of the same results over and over again. Eagle Eye only brings you new results that are worthy of your attention. Our easy-to-use workflows allow you to quickly review dozens to hundreds of results in minutes. Many of our clients have found that with Eagle Eye they cut their workload by 80%.
HEIGHTEN SUPERVISOR MODE
Eagle Eye’s flexibility empowers you to monitor your advisors at a variety of levels. For some, the top 10 results are fine; for others perhaps the top 25 results will do. For those that push the envelope a heightened level of supervision may be required. In any situation, Eagle Eye allows you to customize your approach without worry, and without additional charges or fees.
Learn more about how this feature is addressing regulatory notice 18-15.
Learn more about how this feature is addressing regulatory notice 18-15.
EAGLE EYE IS LOADED WITH MANY MORE FEATURES
Developed with the compliance professionals in mind. Eagle Eye has everything you need including:
- Audit Reporting
- Hierarchy File Loading
- Escalation Workflows
- Simple to Complex Reviewer Hierarchy Support
- Productivity Reports
- Footprint Reports
- Management Dashboard
- Multiple Supervision Levels
- Review Tagging and Categorization
- Research Mode
- Search Lexicons
- Roles and Permissions
- Automated Re-reviews
- WORM Compliant 17 3a Storage
- Compliant with FINRA Rule 2210
- Compliant with FINRA rules 3010 and 3270
- SQWatcher Integration and More!
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