FX and brokerage desks
The compliant sales floor
For FX, CFD and brokerage sales teams in the EU and the UK: the dialler's rules in the dial path, recordings kept for the record-keeping period, compliance phrases checked on every call and chat, and deposits traced back to the agent and campaign.
What the pack adds
Record keeping for regulated desks
A preset that keeps call recordings, their transcripts and every conversation's messages for five years, extendable to seven with the reference of the request. Nothing in the period can be deleted, a conflicting erasure request is recorded and refused with its date, and a legal hold still applies.
Compliance phrases
Required phrases such as the risk warning and the recording notice, and banned ones such as promises of profit, checked on every transcribed call and closed chat. Matching tolerates speech-recognition slips, counts the agent's words only, and runs without AI at no extra charge.
Speed to lead
Time from a lead's arrival by web form, API or import to the first call attempt and the first connected call, by source and by agent, against your target, with a live list of leads still waiting.
New leads first
An optional campaign rule puts a lead that has never been called at the front of the dialler queue while it is fresh, after callbacks that are due.
Deposit attribution
Your back office posts first deposits and deposits to an API endpoint. Each is matched to the client and credited to the agents, conversations and campaign that reached them in a look-back window you set.
Conversion by agent and campaign
First deposits, amounts and conversion per agent and per campaign, in your reporting currency. Deposits in other currencies are listed apart, never converted.
Record keeping, stated plainly
Investment firms are generally required to record telephone conversations and electronic communications relating to transactions and keep them for a set period, commonly five years and up to seven where the regulator asks (MiFID II and the national rules built on it, such as CySEC's and the FCA's). The preset is built around that shape.
The settings help meet the record-keeping duty. They do not certify compliance: which calls and messages your licence requires you to keep is for you and your compliance officer to confirm.
- The period only grows once it is on, and the database refuses a deletion inside it, whatever asks.
- The retention page shows the period and the earliest date anything held may be deleted.
- A legal hold keeps data beyond the period, as it does today.
- Recordings and data stay in the European Union.
Deposits without payment data
The deposits endpoint takes a reference, an amount and currency, a time and the client (a phone number, an e-mail address or the lead id your CRM sent). It uses your existing API keys and scopes, counts a repeated reference once, and keeps each desk's data apart.
- Amounts and references only: fields for card or bank details are refused, and a reference that reads as a card number or IBAN is rejected.
- Vendor-neutral: any back office or CRM that can call a web address can send them.
- Every touch in the window is kept with the deposit; the money is credited once, to the last one.
Questions from FX desks
Do compliance phrases need call transcription?
For calls, yes: phrases are checked on the transcript, so post-call transcription has to be switched on. Chats are checked when they close.
Is the phrase library legal advice?
No. The starter library is a starting point in English for FX and CFD sales. Edit it to the wording your compliance officer approved, and add phrases in other languages.
Can an agent's breach be missed or wrongly flagged?
Matching is by similarity, so a supervisor reviews each banned-phrase alert. A banned phrase said right after a negation, such as "there is no promise of profit", is shown as negated rather than counted.
Can a client ask for their data to be erased during the period?
They can ask, and the request is recorded. While the record-keeping period covers their calls or messages it is refused with the date it can be carried out.