What Gets Flagged and what Terms are Monitored
We have worked with XYPN's Compliance Team to create a list of monitored terms. These terms are potential indicators of either marketing or security violations for your firm.
Monitored Terms
- "I guarantee"
- "guaranteed return"
- "guaranteed returns"
- ground floor
- complaint
- attorney
- legal representation
- account number
- "get in early"
- complimentary
- day trading
- "window of opportunity"
- "time the market"
- unparalleled
- "best of class"
- "one of a kind"
- "performance"
- "superior performance"
- "superior service"
- "first class"
- premier
- "without consent"
- trusted
- "not authorized"
- "risk-free"
Numbers
- Social Security Numbers (555 55 5555 or 555-55-5555)