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Encore Compliance Unveils Advanced Surveillance Technology to Reinforce MNPI and Insider Trading Controls
[April 02, 2024]

Encore Compliance Unveils Advanced Surveillance Technology to Reinforce MNPI and Insider Trading Controls


Encore Compliance, a global leader in compliance software solutions, today announced an innovative enhancement to its Generative AI expert call surveillance technology. This advanced feature set is designed to robustly manage Material Non-Public Information (MNPI), directly aligning with the SEC's intensified scrutiny on the effective handling and prevention of insider trading risks. The technology now seamlessly integrates expert call data with trade desk and personal trading surveillance, facilitating a proactive approach to identifying and mitigating potential insider trading activities.

Tad Mitchell, Co-founder, President, and COO of Encore Compliance, expressed, "Leveraging our enhanced Generative AI, we're transforming the expert call chaperoning process into a highly efficient, insight-driven operation. Our solution ensures that every firm's approach to managing MNPI is both comprehensive and customized, sidestepping the 'one-size-fits-all' methods that fall short of regulatory expectations."

Encore Compliance's platform is engineered on a foundation exceeding 30,000 expert call transcripts, enriched with insights from seasoned compliance professionals and former regulators. It accurately identfies potential MNPI and other insider trading risks, offering unparalleled precision and speed. This technology empowers compliance officers with sophisticated, customizable tools tailored to their firm's unique risk profile, facilitating a proactive stance on compliance management.



Scott DePetris, Co-Founder, Chairman, and CEO, underscored the technology's benefit to compliance teams, "Our aim is to elevate compliance roles, automating routine tasks to allow focus on strategic risk management. By identifying correlations between expert calls and trading activity, we're equipping officers with crucial data to navigate insider trading risks efficiently."

In addressing the importance of a supportive compliance culture, the platform emphasizes senior management's role in fostering a compliance-first ethos, a critical element highlighted by industry experts. It offers features that ensure transparency, accountability, and engagement across all organization levels, reinforcing the SEC's stance on the significance of 'tone at the top.'


Encore Compliance is inviting investment advisors to discover this cutting-edge technology through personalized demonstrations and a complimentary trial period. As a pioneer in AI-driven compliance solutions, Encore Compliance is dedicated to advancing the industry's standard for expert call management, paving the way for a more secure and efficient investment research ecosystem.

About Encore Compliance:

Founded by leading experts in compliance and research, Encore Compliance is at the forefront of redefining expert call surveillance. By enabling compliance officers to effectively manage risk with its pioneering Generative AI technology, Encore Compliance ensures protection against MNPI risks and empowers research teams to build a proprietary research call library. With a focus on innovation and excellence, Encore Compliance is dedicated to transforming the industry's approach to expert call management.


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