Suitability and Surveillance are central to Compliance. Once upon a time these responsibilities were achieved manually. However, today the amount and breadth of transactions and types, advertising / marketing reviews, and the pure volume are placing increased pressure on firms to embrace oversight technology. How is your firm embracing technology to help structure your review efforts? Additionally, how are you managing “firm” risk? Are you using automation to perform suitability during the transaction or managing after the fact?