Dodd-Frank Call Recording Requirements and Solutions

Record mobile phone calls to ensure Dodd-Frank compliance.

VPI CAPTURE™
Call Recording and Analytics

Customer Successes

Chicago Mercantile Exchange
TD Securities

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Intelligent Solutions for Ensuring Compliance with Dodd-Frank.

The Dodd-Frank Wall Street Reform and Consumer Protection Act has had a major impact on American contact centers and trading floors of all sizes and in multiple industries that are involved in swap activities – including financial services, manufacturing, oil and insurance. These new regulations and Dodd-Frank call recording requirements are very demanding, with an emphasis upon the implementation of enabling technologies and strict adherence to organizational processes. Contact centers and trading floors of all sizes – and of varying degrees of sophistication – are struggling to maintain compliance with these tough new regulations. In addition to being required to react quickly and appropriately to changing processes, financial institutions must also respond immediately to audits or complaints and provide guaranteed, foolproof evidence retention.

With VPI EMPOWER, organizations can meet these challenges and manage compliance with the Dodd-Frank Act:

100% Recording of All Digital Interactions

To ensure evidence and regulatory adherence. VPI CAPTURE Dodd-Frank telephone call recording software can record all channels of communication – hard-wired, soft and mobile cell phones, trading turrets, email and Web chat – ensuring the capture of every interaction between the contact center and customer.

Powerful Interaction Analytics

Automatically tags valuable data to recordings easy access to important recorded interactions. Customer disputes and Dodd-Frank compliance issues are quickly addressed and resolved. Automatically tag telephone and mobile phone call recording interactions with disclosure and consent information, as well as the following searchable data:

Dodd-Frank Call Recording Requirements and Solutions
Customer ID Order Source
Customer/Portfolio Type Stock Symbol
Order Amount Share Quantity
Order Type Share Price

Proactive Alerting

Detects and proactively notifies you of non-compliant events within conversations.

Detailed Audit Trail Reporting

is achieved with interactive drill-through audit trail reports and heat maps, which can easily determine who accessed any hard-wired or cell phone call recording in the system and when it was accessed for playback, export or any other critical event.

Automated E-Learning and Coaching

is a huge advantage in the quest for speedy implementation of new Dodd Frank mobile phone call recording and other new policies and the correction of non-compliant behaviors. If non-compliance is being caused by gaps in employee knowledge or skills, VPI can automatically assign personalized Coaching and send notifications and alerts to managers on the particular topic causing the issue.