The SEC seeks to hire 225 more staff members in fiscal year 2016, which would increase the number of audits taking place1

Compliance saves

FINRA restitutions to investors

As of July 1, 2015, member firms face FINRA Rule 3110(e), requiring verification of the accuracy and completeness of information on an applicants’ form U4

It is rare that an exam does not discover some deficiencies in a firm’s policies2

average cost for organizations that experience non-compliance related problems3

average cost of compliance3

Experts anticipate that FINRA fines will be on an upward trajectory4

36% of CPA executives said their company has used technological advancements to increase efficiency in fulfilling regulatory requirements5

25% of respondents added staff to help manage the extra work5

Almost 90% of survey respondents expect investment in compliance to increase in the coming two years6

$9.4M

$3.5M

+225 staff

To learn more or request a demo, email marketing@eaiinfosys.com

1 Alessandra Malito, “Want to survive an SEC audit? Go paperless,” Investment News, April 22, 20152 Daniel Nathan and Justin Kletter, “Preparing for and Enduring a FINRA Exam,” The Review of Securities & Commodities Regulation,” Vol. 47, No. 2, January 22, 20143 The True Cost of Compliance4 Mark Schoeff Jr., “Finra restitution to investors triples to $96.2 million in 2015,” Investment News, January 6, 20165 “How regulatory challenges are affecting financial services industry” CGMA Magazine6 Accenture 2015 Compliance Risk Study

EAI provides the tools you need to change compliance from a burden to

a strategic asset

Manage broker/dealer risk and liability across multiple business lines efficiently, confidently, automatically

©2016 EAI Information Systems. All rights reserved.

$96.2M

$32.3M

20144 20154

As the number of audits increase, so does the cost of non-compliance

Audits are becoming tougherand more frequent

And the cost of failing an audit is growing

Financial organizations are investing to better manage compliance

Record data quickly, accurately and securely, transaction after transaction

Automatically red-flag non-compliant or unsuitable transactions for increased scrutiny and document compliance reviews at varying levels

Aggregate data from multiple systems and sources and view on a single screen

Directly integrate with business data

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