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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.
Key Benefits:
- 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
Comprehensive 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.