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EAI Compliance & Audit Infographic

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An infographic created for EAI to highlight increasing risk of audit and penalties of non-compliance.

Publicada em: Economia e finanças
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EAI Compliance & Audit Infographic

  1. 1. 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, 2015 2 Daniel Nathan and Justin Kletter, “Preparing for and Enduring a FINRA Exam,” The Review of Securities & Commodities Regulation,” Vol. 47, No. 2, January 22, 2014 3 The True Cost of Compliance 4 Mark Schoeff Jr., “Finra restitution to investors triples to $96.2 million in 2015,” Investment News, January 6, 2016 5 “How regulatory challenges are affecting financial services industry” CGMA Magazine 6 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 tougher and 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 101001 011010 100101

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