This policy detects suspicious financial transactions such as tax evasion or false accounting, especially with entities that appear on the U.S. OFAC list.
This policy identifies ‘B’ bids, and other electronic communications indicative of bid rigging, as it relates to the insurance industry.
This policy detects language that indicates possible bid rigging related to Municipal Bond issuance.
This policy monitors for blast e-mail which is sent to more than a specified number of external recipients at one time.
This policy detects involvement in bribery or blackmail schemes.
This policy detects indications that a broker has made or is attempting to correct an error with respect to trading.
Protect and control communications between an employee and regulatory, legal, and governmental authorities.
This policy detects unbalanced communication by recognizing claims and statements that focus solely on positive or negative aspects of a product, advice, or decision.
Electronic information can be eliminated as easily as it is created, making the uncontrolled destruction of retained information an unacceptable risk. This policy detects text indicative of a suggestion to eliminate e-mail messages, computer files, or documents. It also detects general references to retention rules.
This policy detects messages that appear to contain investment advice or recommendations.
This policy is designed to look for evidence of two parties engaged in a possible "trade parking", or "wash trade", arrangement.
This policy detects solicitations or requests for contributions to charities, student fundraisers, or other non-commercial and non-political organizations.
This policy detects language containing general references to contributions or solicitations for contributions.
This policy detects solicitations or requests for contributions to political causes or campaigns.
This policy detects language containing references to contributions or solicitations for contributions to private investment activities.
This policy detects solicitations or requests for contributions to religious organizations.
In general, a Representative must be both qualified, and allowed by the firm, in order to offer ‘advice’ to a customer. This policy is designed to identify messages where a non-tax Professional offers tax advice to a public customer.
This policy detects order confirmations so as to identify trading activity, for one’s personal account, outside of firm-approved processes and/or procedures.
This policy is designed to identify trade order placements, for one’s personal account, outside of Firm-approved processes and/or procedures.
This policy detects possible whistle blower situations and allows an organization to take appropriate steps in response.
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