Best Practice Compliance Monitoring for Asset Managers

Requirements & Challenges

The compliance team of an industry-leading global Asset Management firm struggled to effectively monitor all communications activity across their UK and European offices to mitigate risk and meet regulatory requirements. Each office had separate systems and communication channels to monitor hundreds of employees and third parties, and each operated in a different language.

Communications Compliance Asset Management Quote

Solution

Using the Fingerprint communications supervision platform, the compliance team of this global Asset Management firm can now:

Monitor all communications data across their offices in the UK and Europe in a single login, unified platform
Access in-platform translation tools to translate any multi-lingual activity into their native language before reviewing work
Access in-platform investigation workflows, case management and reporting
Benefit from automated processes completed by the platform, which allows for efficient and cost-effective communications monitoring across all global offices

The Fingerprint platform gives higher management peace of mind that their business is being run compliantly and that all staff members are conducting themselves appropriately. This also reassures their investors and clients that they are conducting all business cleanly and compliantly.