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Fraud Alert™
Automated Digital Signature Fraud Detection
Protect your firm and clients with award-winning signature monitoring that helps satisfy FINRA compliance requirements.
Fraud Alert automatically scans digital signature audit trails to detect potential fraud, providing real-time notifications and comprehensive reporting.
FINRA Compliance Requirements & Fraud Alert Features
| FINRA Requirement | Regulatory Source | How Fraud Alert Helps |
|---|---|---|
| Establish and maintain supervision system for digital signatures | Rule 3110(a) | Automated monitoring of all digital signature transactions with comprehensive audit trails |
| Detect potential signature forgery/falsification | Notice 22-18 | Real-time pattern recognition and suspicious activity flagging |
| Written supervisory procedures | Rule 3110(a)(1) | Provides detailed audit reports to support firm's written procedures for signature supervision |
| Supervisory responsibility designation | Rule 3110(a)(2) | Automated alerts sent to designated compliance personnel |
| Document suspicious scenarios | Notice 22-18 | Weekly suspicious activity reports documenting potential fraud patterns |
| Monitor registered representative activities | Rule 3110(a)(5) | Tracks all signature activities by registered representative with detailed audit trails |
| Reasonable supervision efforts | Rule 3110(a)(6) | Reduces manual review burden through automated monitoring and targeted alerts |
| Regular compliance review | Rule 3110(a)(7) | Generates reports for annual compliance reviews and meetings |
FINRA Compliance Requirements & Fraud Alert Features
Establish and maintain supervision system for digital signatures
How SIGNiX Fraud Alert helps:
Automated monitoring of all digital signature transactions with comprehensive audit trails.
Detect potential signature forgery/falsification
How SIGNiX Fraud Alert helps:
Real-time pattern recognition and suspicious activity flagging.
Written supervisory procedures
How SIGNiX Fraud Alert helps:
Provides detailed audit reports to support firm's written procedures for signature supervision.
Supervisory responsibility designation
How SIGNiX Fraud Alert helps:
Automated alerts sent to designated compliance personnel.
Document suspicious scenarios
How SIGNiX Fraud Alert helps:
Weekly suspicious activity reports documenting potential fraud patterns.
Monitor registered representative activities
How SIGNiX Fraud Alert helps:
Tracks all signature activities by registered representative with detailed audit trails.
Reasonable supervision efforts
How SIGNiX Fraud Alert helps:
Reduces manual review burden through automated monitoring and targeted alerts.
Regular compliance review
How SIGNiX Fraud Alert helps:
Generates reports for annual compliance reviews and meetings.
Note: This section highlights key requirements. Firms should consult their compliance teams for a complete assessment of regulatory obligations.
Automated Supervision
Continuous monitoring of signature workflows reduces manual review time
Enhanced Compliance
Helps meet FINRA Regulatory Notice 22-18 and Rule 3110 requirements
Immediate Alerts
Real-time notification of suspicious signature activities
Seamless Integration
Works within existing workflows via MyDoX or Flex API
Industry Recognition
Features That Matter
Intelligent Monitoring
Continuous audit trail scanning
Pattern recognition for suspicious activities
Weekly suspicious activity reports
Real-time notification of potential fraud indicators
Compliance Support
Detailed audit records
Targeted investigation tools
Strengthened supervision capabilities
Reduced regulatory risk
Easy Implementation
No additional hardware required
Dedicated implementation support
24/7 technical assistance
Regular security updates
protected by Signix
Fraud Alert leverages SIGNiX's TotalAudit™ technology to provide tamper-evident signatures with comprehensive audit trails, helping ensure the highest level of security and compliance for your digital transactions.
Contact SalesProtect your firm with award-winning signature monitoring. Contact us today to learn how Fraud Alert can strengthen your compliance program.