Thursday, September 25, 2025

Encore Compliance Unveils Advanced Surveillance Technology to Reinforce MNPI and Insider Trading Controls

Related stories

Aisles Launches DREAM: AI-Driven Virtual Reality Evolution

Aisles has unveiled DREAM (Dynamic Reality Experience and Memory),...

TechSee Unveils Visual Remote Assistance with AI (VRAi) on Salesforce

TechSee, a global leader in visual customer assistance, announced...

Rendever and Lenovo Collaborate to Bring Virtual Reality Experiences to Carolina Caring Seniors

Rendever, the Boston-based company pioneering the future of aging...

Ansys 2024 R1 Reimagines the User Experience while Expanding Multiphysics Superiority Boosted by AI

The latest release from Ansys, 2024 R1, introduces an elevated user...

eXeX and Neurosurgeon Dr. Robert Masson Achieve World First Using Apple Vision Pro

eXeX™, a leader in artificial intelligence and mixed reality...
spot_imgspot_img

Encore Compliance, a global leader in compliance software solutions, announced an innovative enhancement to its Generative AI expert call surveillance technology. This advanced feature set is designed to robustly manage Material Non-Public Information (MNPI), directly aligning with the SEC’s intensified scrutiny on the effective handling and prevention of insider trading risks. The technology now seamlessly integrates expert call data with trade desk and personal trading surveillance, facilitating a proactive approach to identifying and mitigating potential insider trading activities.

Tad Mitchell, Co-founder, President, and COO of Encore Compliance, expressed, “Leveraging our enhanced Generative AI, we’re transforming the expert call chaperoning process into a highly efficient, insight-driven operation. Our solution ensures that every firm’s approach to managing MNPI is both comprehensive and customized, sidestepping the ‘one-size-fits-all’ methods that fall short of regulatory expectations.”

Encore Compliance’s platform is engineered on a foundation exceeding 30,000 expert call transcripts, enriched with insights from seasoned compliance professionals and former regulators. It accurately identifies potential MNPI and other insider trading risks, offering unparalleled precision and speed. This technology empowers compliance officers with sophisticated, customizable tools tailored to their firm’s unique risk profile, facilitating a proactive stance on compliance management.

Also Read: UiPath Announces FedRAMP® Authorization for Its Automation Cloud™ Public Sector

Scott DePetris, Co-Founder, Chairman, and CEO, underscored the technology’s benefit to compliance teams, “Our aim is to elevate compliance roles, automating routine tasks to allow focus on strategic risk management. By identifying correlations between expert calls and trading activity, we’re equipping officers with crucial data to navigate insider trading risks efficiently.”

In addressing the importance of a supportive compliance culture, the platform emphasizes senior management’s role in fostering a compliance-first ethos, a critical element highlighted by industry experts. It offers features that ensure transparency, accountability, and engagement across all organization levels, reinforcing the SEC’s stance on the significance of ‘tone at the top.’

Encore Compliance is inviting investment advisors to discover this cutting-edge technology through personalized demonstrations and a complimentary trial period. As a pioneer in AI-driven compliance solutions, Encore Compliance is dedicated to advancing the industry’s standard for expert call management, paving the way for a more secure and efficient investment research ecosystem.

SOURCE: BusinessWire

Subscribe

- Never miss a story with notifications


    Latest stories

    spot_img