Holistic Trade Compliance
Accelerate regulatory trade compliance and improve productivity by automating trade reconstruction and surveillance using advanced analytics, machine learning and robotic process automation
Detect & Prevent Non-compliant Activities
NICE Actimize Financial Markets Compliance 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.
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Holistic Surveillance » |
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Communication Compliance » |
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Sales Practices & Suitability » |
Detect Intent
Capture and Analyze all conversations and data
around financial transactions to find fraudulent intent
Reconstruct Trades
Monitor and Reconstruct all trades by using
behavioral analytics and machine learning
Identify Conduct Related Threats
Identify and Prevent compliance and financial
risks by using sales practices and supervision
NICE Actimize achieved best-in-class ratings across vendor stability, client strength, and product features with highest average score among participating vendors.
People Talk - they talk about what they are going to do before they do it, and they brag about what they have done after-the-fact. Traders are no exception.
Is your firm risking reputational damage and fines by relying on an outdated lexicon-based eComms surveillance solution?
More Blogs »
Navigating & Automating Compliance
A series of educational webinars addressing how NICE COMPASS can help to automate compliance assurance processes and reduce risk
On-Demand Webinar
Cross Border and Suitability Compliance
Webinar hosted by RegTech
Analyst, speakers from Aité and SAXO Bank
On-Demand Webinar
Cracking the Code: Bringing Accuracy to
E-Communications Surveillance
Webinar hosted by Financial Technology Forum (FTF)
More Events & Webinars »
We’re excited to share engaging and relevant content to help make your job easier, and keep you up to date on NICE Actimize and industry news. Subscribe to the quarterly Trade Compliance & Surveillance Newsletter in the NICE Actimize’s email Subscription Center »
