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EWMS Supervision+Overview: Fully-automated, online and real-time compliance supervision system Helps streamline compliance supervision process Configurable to firm's trade supervision model Provides full audit trail of all transactions Provides access to client's full investing profile in one location EWMS Supervision+ is an online and real-time supervision system for Dealers and their Compliance personnel, which helps ensure that all new accounts and trades are reviewed in a thorough, consistent and timely manner directly through the EWMS wealth platform. The EWMS Supervision+ module was developed to assist in adherence to all MFDA and regulatory requirements regarding new account and trade supervision, offering Dealers the highest level of risk and compliance management controls and standards. Using a 3-tier review system, EWMS Supervision+ provides all required documentation to the reviewer and creates a complete, online audit trail of review activity with time stamps to maintain a point-in-time comparison. EWMS Supervision+ is configurable to a firm's trade supervision model to help control the trade activity that is presented based on a reviewer's role and has escalation option for outstanding trade reviews. Because it is integrated directly into EWMS wealth platform and operates in real-time, "always on" mode, EWMS Supervision+ provides all necessary supporting information for decision-making, expedites the review and approval process, and helps reduce the overall cost and time of a firm's compliance supervision. |
