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 Capture, Manage & Prove all
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Trade Compliance @ Home Resource Center
For organizations with regulated users, continuing to deliver on client expectations and business objectives, while also meeting regulatory compliance obligations is imperative, even in these extraordinary times.
Find here resources to help you and your financial markets compliance teams navigate these challenges.
Detect & Prevent Non-compliant Activities
We can provide your firm with the complete compliance coverage required by today’s financial markets regulations - an environment which requires a view across assets, instruments, communications, markets, and regulatory jurisdictions.
| Holistic Surveillance | |
| Communication Compliance |
Solutions to Enable Regulatory Trade Compliance
Introducing SURVEIL-X
The First AI-Powered True Holistic Surveillance Solution
The race between evolving compliance demands and conduct risk exposes your organization to severe reputational damage and fines. The latest regulations require you to identify intent, which lies deep in your communications and trade data.
Watch the Video on SURVEIL-X Holistic Surveillance
Read What the Analysts are Saying
Issues related to record-keeping contingencies have appeared at the forefront of the concerns expressed by leading Financial Institutions.
According to Matt Simon from Aite Group the nirvana of true holistic surveillance is here and is ready to adapt — though it just might require firms to take a bold new approach.
SIFMA recently hosted the Regulation Best Interest Vendor Forum in New York. Dave Ackerman was part of the panel "Documenting Best Interest, Supervision and Surveillance," and shares his 3 top of mind take-aways from the discussions.
Capture, Manage & Prove all Financial Communications
NICE offers a complete solution that facilitates rigorous recording and monitoring of regulated users communication activities, which is key to a firm ability to meet the stringent regulatory demands and achieve an operating environment that protects customers and the firm reputation.
Watch the Video on NICE COMPASS Compliance Assurance
