Expert Network Compliance demo
Pre-clears expert calls and flags possible MNPI in transcripts for compliance review 1:33
What the demo shows
Pre-clears expert calls and flags possible MNPI in transcripts for compliance review
A call record with the pre-clear strip of five gates over the transcript, possible MNPI marked in the margin, and the trades after the call
Transcript
- Expert Network Compliance helps compliance teams pre-clear expert calls and read every transcript.
- The SEC's 2022 risk alert faulted advisors that never reviewed expert call notes.
- Agents pre-clear Quillfield's 2,000 calls a year against five gates.
- This expert left Arvell seven months ago, lists clear, chaperone booked.
- The transcript agent reads, every line.
- Our Q3 wafer orders were cut 30% last week.
- Nothing public matches. The pre-clear agent reopens his clearance.
- The trading agent finds a stage sell of 120,000 shares.
- Compliance holds it. Priya prepares the restriction.
- Watch list. Notes frozen.
- Expert blocked. Chief Compliance Officer Marcus Feld approves at 1620 with a reason.
- Every clearance, flag, and trade check is cited, signed, and logged.
- The aim, every transcript reviewed, red flags to the CCO within one hour.
- Built on Botminds: agents, data, screens, and governance on one platform.
Transcribed from the film’s narration. Captions are on the player.