Compliance Controls: Automatically filter out experts whose profiles do not conform to your firm's compliance criteria, eliminating the need to review each candidate.
Expert MNPI Training: All experts complete a mandatory compliance and MNPI training module before they are allowed to accept any consultations.
Expert Compliance Test: After completing the training module and before receiving their first consulting engagement, all experts must pass a compliance test.
Call Pre-Approval: This setting ensures that no consultations occur without experts first undergoing review and pre-approval by the compliance officer at the firm.
Call Chaperoning: This functionality gives compliance officers access to the conference line for all consultations and allows them to silently chaperone the conversation.
Expert Attestations: Experts must review and sign all required client attestations and certification documents through the platform prior to scheduling a consultation.
Call Recording: To support internal and external audits, Vancery enables a call recording function for all expert calls that analysts engage in on the platform.
Research Auditability: Records of all messages and calls exchanged with experts on the platform can be compiled and downloaded in seconds to support audits and regulatory requests.