Docupace published a new guide breaking down the four things regulators evaluate during a trade surveillance review and where most compliance teams get caught off guard.

Docupace is a leading digital operations technology provider that simplifies how wealth management firms process and digitize data, increasing efficiency, productivity, and profits. With the secure, cloud-based Docupace Platform, the Docupace team provides a suite of digital solutions that helps broker-dealers, RIAs, and their advisors streamline and automate client onboarding, document management, advisor transitions, Regulation BI, cybersecurity, and other critical workflows while maintaining SEC and FINRA compliance. With headquarters in Holmdel, New Jersey, Docupace is proud to serve a variety of firms, including some of the largest in the financial services industry, through a combination of proven technology and hands-on service.