EFFICIENT SOCIAL AND DIGITAL COMPLIANCE
Universal Supervision and intelligent compliance solutions built for the enterprise.
ENTERPRISE COMPLIANCE
Ensure compliance, reduce risk, and empower your employees to engage with clients. The patented Hearsay platform provides robust compliance functionality across social, mobile, and web communication for regulated companies, including FINRA, SEC, IIROC, MiFID and FCA regulated firms. Make compliance and supervision simple with pre-approval workflows, real-time alerts, supervision and approval trails, and infraction resolution – all managed from a Universal Supervision dashboard. Capture, monitor and archive digital communication between your advisors and their clients, across the corporate network, mobile devices, and remote locations.
Enterprise-wide social media compliance across devices
Make compliance and supervision across Facebook, LinkedIn, Twitter and Google+ easy with pre-approval workflows, real-time alerts, approval trails, and infraction resolution – all managed from the Universal Supervision dashboard. Capture, monitor and archive digital communication between your advisors and their clients across social networks, the corporate network, mobile devices, and remote locations.
Compliance and Supervision across Advisor Websites
Many firms limit local customization of advisor websites because of the compliance risk that it presents. Built on the Hearsay platform, Advisor Sites delivers a uniquely integrated supervision and record-keeping experience so advisors can submit content for review before publishing to their website or choose from a library of pre-approved content. All website activity is visible in the Universal Supervision dashboard so the compliance team has a complete view of advisor activity.
Integrated Compliance and Supervision for Texting
Track, capture and archive all text messages sent and received through the Advisor Messages app. From the Hearsay Universal Supervision dashboard, set controls to address requirements from FINRA, SEC, IIROC, FCA, MiFID II and other industry regulators. Hearsay’s configurable governance and compliance controls make it easy to control and restrict outbound messages so advisors use texting appropriately.
