# Case Studies

Data Validation in The Age of Audits

Data Validation in The Age of Audits

Like it or not, we are living in the age of audits. From internal teams that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour over client data. The financial services industry has endured these necessary headaches for years, and until...

Customer Success Story: Proactive Compliance for Broker-Dealers

Last year, one of our clients came to us with this question: “How do we ensure our brokerage is capturing all non-physical customer addresses in order to prevent violation of FINRA Anti-Money Laundering rules?” Pandia, our core product, has rules in place that monitor...

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