SYSTEM AND METHOD FOR ENSURING RECORDKEEPING COMPLIANCE
Methods and systems for associating call data and trade data are disclosed. Initiation of a call between a client and a dealer is detected. The call is recorded. A trade is confirmed between the client and the dealer. The call is associated with the confirmed trade.
1 . A non-transitory computer readable medium having executable code stored thereon, that when executed, causes a computing device to perform operations comprising:
detecting initiation of a call between a client and a dealer;
recording the call;
confirming a trade between the client and the dealer; and
associating the call with the confirmed trade.
2 . The non-transitory computer readable medium of claim 1 , wherein the operation of confirming a trade between the client and the dealer comprises:
analyzing trade recap information received from the dealer; and
receiving an affirmation indication from the client to indicate a confirmed trade.
3 . The non-transitory computer readable medium of claim 1 , wherein the operation of associating the call with the confirmed trade comprises:
analyzing a plurality of calls between the client and a plurality of dealers;
identifying calls between the client and the dealer from the plurality of dealers; and
processing the identified calls to determine the call related to the confirmed trade.
4 . The non-transitory computer readable medium of claim 1 , wherein the operation of recording the call comprises:
analyzing the call to determine whether the call relates to a trade of a financial instrument; and
recording the call based on the analyzing.
5 . The non-transitory computer readable medium of claim 1 , wherein the operation of associating the call with the confirmed trade comprises:
analyzing the call to determine whether the call includes content associated with the confirmed trade.
6 . A method for associating call data with trade data, comprising:
detecting initiation of a call between a client and a dealer;
recording the call;
confirming a trade between the client and the dealer; and
associating the call with the confirmed trade.
7 . The method of claim 6 , wherein confirming a trade between the client and the dealer comprises:
analyzing trade recap information received from the dealer; and
receiving an affirmation indication from the client to indicate a confirmed trade.
8 . The method of claim 6 , wherein associating the call with the confirmed trade comprises:
analyzing a plurality of calls between the client and a plurality of dealers;
identifying calls between the client and the dealer from the plurality of dealers; and
processing the identified calls to determine the call related to the confirmed trade.
9 . The method of claim 6 , wherein recording the call comprises:
analyzing the call to determine whether the call relates to a trade of a financial instrument; and
recording the call based on the analyzing.
10 . The method of claim 6 , wherein associating the call with the confirmed trade comprises:
analyzing the call to determine whether the call includes content associated with the confirmed trade.
11 . A system comprising:
a communication unit, in communication with a network, configured for:
detecting initiation of a call between a client and a dealer;
confirming a trade between the client and the dealer; and
associating the call with the confirmed trade; and
a recording unit, in communication with the network, configured for:
recording the call.
12 . The system of claim 11 , wherein the communication unit is further configured for:
analyzing trade recap information received from the dealer; and
receiving an affirmation indication from the client to indicate a confirmed trade.
13 . The system of claim 11 , wherein the communication unit is further configured for:
analyzing a plurality of calls between the client and a plurality of dealers;
identifying calls between the client and the dealer from the plurality of dealers; and
processing the identified calls to determine the call related to the confirmed trade.
14 . The system of claim 11 , wherein the communication unit is further configured for:
analyzing the call to determine whether the call relates to a trade of a financial instrument; and
wherein the recording unit is further configured for:
recording the call based on the analyzing.
15 . The system of claim 11 , wherein the communication unit is further configured for:
analyzing the call to determine whether the call includes content associated with the confirmed trade.