Compliance Management Services Offered by EAI Info Systems
EAI Information Systems offers the best Compliance Management Services on the market. Through Risk Detection, Issue Mitigation, and Evidence Reports your company’s compliance management will be top-notch.
Risk Detection –EAI Info Systems allows your company to ensure it makes only FINRA and SAAE compliant transactions across all channels of your business and systems. Our Compliance Management Services also allow you to set your own rules and parameters to ensure transactions are up to your standards. Our Risk Detection Software is world-class and will ensure no transactions jeopardize your company.
Issue Mitigation – training, compliance, complaints, and more for dealers and brokers can be tracked. Solve problems that arise within your supply chain quickly and effortlessly through our tracking system.
Evidence Reports – With a comprehensive set of visual charts and reports, plus the ability to customize your own, you can analyze data easily and quickly. Companies in the modern world gather so much data that it can be a struggle to use it to their advantage effectively. With Evidence Reports from our Compliance Management Services, it is simple to review data properly and then make the proper decisions accordingly.
What Our Customers are Saying:
Central Sales Support Manager- “We have gone through several FINRA audits, I’ve never seen a FINRA issue that EAI didn’t catch.”
Investment Operations Officer- “When management needs information on short notice, EAI’s system let us respond quickly with ad hoc reports that aren’t available with our other systems.”
