Monitoring and managing risk in an environment defined by the increasing volume and regulatory change makes running and growing your business a challenge.
DST delivers consistent, comprehensive programs and robust technology solutions to help you address the complex compliance ecosystem. We keep a close eye on federal and state regulations, adjusting our systems and processes accordingly. Our goal is to ease the burden of meeting and proving adherence to regulatory requirements and, ultimately, reduce the risk your organization faces. Our surveillance solutions include:
- Watch and Sanctions List Surveillance – provides screening and analysis to support client due diligence
- Transaction Monitoring – provides analysis of accounts to identify out of the ordinary, unusual or fraudulent activity
- Broker-Dealer Supervisory Support – supports FINRA and SEC Registered Representative and Investment Advisor supervision and surveillance
- Investment Suitability – supports FINRA, SEC Know Your Customer/Know Your Product requirements, as well as DOL Fiduciary Rule account surveillance