Compliance and Supervision

The enterprise-class Hearsay Cloud platform delivers last mile digital communications – websites, social media, email and text messaging – through compliant pipes. It enables firms to monitor, supervise and comply with policies and industry regulations, including FINRA, SEC, FFIEC, IIROC, FCA and MiFid II. Hearsay Cloud allows compliance and supervision teams to easily comply with complex regulatory requirements, adding channels and advisors without extra staff.

In 2018, Hearsay customers experienced a 46% decrease in compliance alerts created at the same time as they increased automated content published by 52%.

Fanette Singer
Senior Vice President of Marketing
COUNTRY Financial
“Before Hearsay, our compliance team would spend weeks at a time working with reps to update and edit content. With the Hearsay platform compliance has become streamlined and content issues are resolved within minutes.”
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Knut Olson
Senior Vice President
Thrivent Financial
“Our financial representatives and compliance teams alike love that the Hearsay enterprise platform is specifically built for our industry to help our advisors and our members connect and engage across all forms of communications in today’s digital era.”
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Capture, monitor and supervise across digital channels

Hearsay Cloud provides a single system for firms to manage communications and advertising compliance across advisor / agent social media, local websites and text messaging. The Universal Supervision Dashboard aggregates field activity in a single contextual view; supervisors can use context and history to make faster approval decisions.

Easily create & adjust policies

Each company’s policy is different and policies often change over time. Hearsay Cloud provides flexible policy controls so compliance leaders can create and adjust policies based on evolving company standards and changes in regulations.

Pre-approve content

For content that is considered static advertising, pre-approval is necessary. Hearsay Cloud Content allows teams to distribute pre-approved content and compliance to pre-review static or advertising communication before it is shared by advisors/agents in the field.

Unified view of advisor activity for efficient supervision

Hearsay Cloud’s unique Universal Supervision Dashboard view aggregates advisor activity across digital channels for a single contextual view, so supervisors can use context and history to make faster approval decisions. Hearsay Cloud is optimized so each compliance user can supervise more individuals across more channels.