Why use Fingerprint?
Fingerprint supports your monitoring team in supervising communications for compliance according to your regulator’s requirements. Our multi-client platform gives you complete communications oversight over hundreds of businesses, offices or Appointed Representatives in one place—perfect for Regulatory Hosts, Principals, Compliance Consultants and Outsourced CCOs. Using Fingerprint, you’ll gain a precise picture of all the potential risks across your eComms and voice data using all the review, investigation and reporting tools needed to do supervision really well. Most importantly, the platform will help you improve efficiency, save time, and supervise communications at scale so you can grow your compliance service business exponentially.
Businesses use Fingerprint to:
- Satisfy regulatory compliance requirements – if you’re based in the UK, these will be SYSC systems and controls along with data retention and preventing financial crime requirements from the FCA. If you’re based in the US, these will be record keeping and financial crime prevention requirements from regulators like the SEC, FINRA and CFTC – read the full guide on why you should supervise comms here).
- Achieve unified oversight over risk within your communications data.
- Monitor and manage networks of Clients or Appointed Representative businesses from one place if you’re a Regulatory Host, Principal Firm, Outsourced CCO or Compliance Consultant.
- Get valuable business insight and intelligence from your communications data.
- Save time, cut costs and grow profitably while staying compliant and keep both the regulator and your leadership team happy.
So, if you’re a compliance professional who’ll be using our system day in and out—just why should you use Fingerprint?
With Fingerprint, say goodbye to:
❌ The countless headaches caused by manual compliance monitoring processes.
❌ The dread of logging in and out of separate and disjointed systems to review communications data, which wastes so much time, especially if you supervise several clients or Appointed Representatives.
❌ Conducting ineffective and time-draining random sampling, and investigating activity in a non-GDPR compliant way.
❌ Losing sleep after reading the latest news from the Financial Times about another firm being fined for not having appropriate systems and controls in place, and thinking to yourself – do we have our house in order when it comes to managing risk in our communications?
With Fingerprint, say hello to:
✔️ Unified oversight over the risk in the communications data within your own regulated business or your Appointed Representative/Client network in a user-friendly compliance platform.
✔️ Everything you could possibly need for the entire communications supervision process in one place – all communications data ingested and risk ranked, investigation workflows driven by your compliance policies, and reporting tools to evidence your team have hit their KPIs.
✔️ A lot of time saved with all activity within communications data automatically risk ranked according to urgency, which ensures your team review the most relevant activity immediately to provide a quality supervision service.
✔️ Easy and simple multi-client management for Compliance Oversight Providers – supervise hundreds of Clients, Appointed Representative or Investment Managers within our unified platform, with only one login needed.
✔️ Cost-efficient communications supervision delivered at scale.
✔️ A supervision platform that integrates with (pretty much) everything with an API – protecting and leveraging your existing technology toolkit.
✔️ Meeting and exceeding your regulatory obligations for supervising communications including requirements for data retention, risk monitoring, investigation and reporting. The Fingerprint platform puts compliance first and foremost for you and your Clients, and will support you both to stay on the right side of the regulators.
If you’d like to see Fingerprint in action, and learn more about how our platform can support your business, we would love to chat.