An infographic created for EAI to highlight increasing risk of audit and penalties of non-compliance.

1. The SEC seeks to hire 225
more staff members in fiscal
year 2016, which would
increase the number of
audits taking place1
Compliance saves
FINRA restitutions to investors
As of July 1, 2015, member firms
face FINRA Rule 3110(e), requiring
verification of the accuracy
and completeness of information
on an applicants’ form U4
It is rare that an exam does
not discover some deficiencies
in a firm’s policies2
average cost for organizations
that experience non-compliance
related problems3
average cost of compliance3
Experts anticipate that
FINRA fines will be on an
upward trajectory4
36% of CPA executives said their
company has used technological
advancements to increase efficiency in
fulfilling regulatory requirements5
25% of respondents added staff to
help manage the extra work5
Almost 90% of survey respondents
expect investment in compliance to
increase in the coming two years6
$9.4M
$3.5M
+225 staff
To learn more or request a demo,
email marketing@eaiinfosys.com
1
Alessandra Malito, “Want to survive an SEC audit? Go paperless,” Investment News, April 22, 2015
2
Daniel Nathan and Justin Kletter, “Preparing for and Enduring a FINRA Exam,” The Review of Securities & Commodities
Regulation,” Vol. 47, No. 2, January 22, 2014
3
The True Cost of Compliance
4
Mark Schoeff Jr., “Finra restitution to investors triples to $96.2 million in 2015,” Investment News, January 6, 2016
5
“How regulatory challenges are affecting financial services industry” CGMA Magazine
6
Accenture 2015 Compliance Risk Study
EAI provides the tools you need to
change compliance from a burden to
a strategic asset
Manage broker/dealer risk and liability across
multiple business lines efficiently, confidently, automatically
©2016 EAI Information Systems. All rights reserved.
$96.2M
$32.3M
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As the number of audits increase, so does the
cost of non-compliance
Audits are becoming tougher
and more frequent
And the cost of failing an
audit is growing
Financial organizations are investing
to better manage compliance
Record data quickly, accurately and securely,
transaction after transaction
Automatically red-flag non-compliant or
unsuitable transactions for increased scrutiny
and document compliance reviews at varying levels
Aggregate data from multiple systems and
sources and view on a single screen
Directly integrate with business data
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