One Platform for Comprehensive Broker-Dealer Supervision
Monitor, review, and document brokerage activities to ensure compliance with FINRA and SEC regulations
Knowtice Analytics: Broker-Dealer Insiders Building Unique Customization Tools for Broker-Dealers
Empowering Management, Compliance, Operations and Sales with Systematic Supervision to Drive Sustainable Growth
Centralized Marketing Review System
Maintain proposed and approved communications in one place, tracking approvals and feedback to ensure compliance with FINRA Rule 2210.
Automated Alerts for AML & Marketing Compliance
Receive alerts for red flags in marketing and suspicious activity, with tracking and notification for review actions.
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Crowdsourced Compliance Insights
Access anonymous guidance from other broker-dealers, including insights from FINRA comment letters, expanding compliance knowledge.
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Time-Stamped Communication Records
Every review, comment, and change is logged and time-stamped for a comprehensive audit trail.
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Disposition
Case ID*
20241005072115155228_8848
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Money
Movement AML
Mitigate risk and drive growth with Knowtice Analytics’ AML solution. Our system tracks all transactions, identifying AML risks through patterns like structuring, low-value securities, and rapid liquidations
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17a-4 Compliant
File Storage
Simple, secure, SEA 17a-4 compliant storage. Our cloud solution offers reliable storage with online previews and optional SFTP sync to streamline workflows and ensure regulatory compliance.
Marketing Review
Tool
Streamline advertising approvals with our marketing review solution. Ensure compliance, track the approval process, and accelerate campaign launches. Facilitate team collaboration during reviews
AML Compliance
Monitoring Made Simple
Our unique exception reports provides for a more comprehensive view of transactions in that it analyzes activity across the entire spectrum of client actions. We integrate an analysis of trade executions, fund movements (wires, ACHs, etc.) and security transfers (ACAT, DRS, etc.) in and out of accounts to ascertain whether client activity, in the aggregate, is potentially suspicious. The combination of analysis of trades, funds and transfer movement is especially potent in fostering compliance with AML regulation, covering high-risk areas, such as low-priced securities activities.
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Stay Compliant with Marketing Communication Standards
Recent FINRA Enforcement cases have highlighted the requirement of maintaining a systematic supervision process of broker-dealers’ communications, primarily marketing materials. Our platform allows users to maintain all FINRA Rule 2210 materials that are up for consideration of use in one location – documenting the originally suggested communication, any Compliance reviews and comments, FINRA ADV submission materials, the approval of the final version and the first use date. The system logs all discussions and versions of the communication and maintains the integrity of Rule 2210 compliance by making such records audit ready. The platform also has a unique feature of crowdfunding FINRA ADV department comments that allows users to reconcile suggested language with FINRA comments that other broker-dealers have received, thereby obtaining guidance for the language used and its compliance with Rule 2210 content standards.
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Cloud storage
With secure archiving of documents and integrated metadata controls, Knowtice Archive helps firms meet SEC Rule 17a-4 and FINRA Rule 4511 recordkeeping requirements. Easily organize and store client files, preview various file types online, and generate audit-ready reports. We are able to sort records by the various Rule 17a-4 record retention requirements and are able to table the records into such various categories in order to provide any auditing entity with the categorical accounting and location of such records.
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What our clients are saying
Hear from our clients who trust Knowtice Analytics to simplify compliance and enhance their workflows
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John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
John David
“As an active investor, I’ve struggled to keep track of my diverseportfolio. This platform changed everything. The investmenttracking and performance analytics are incredibly detailed, givingme the insights I need to make smarter decisions. I’ve seen realgrowth since using this tool."
August 29, 2024
