 The First AI-Powered
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 Capture, Manage & Prove all
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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
Learn more about the
Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| MiFID II | ||
| FX Code of Conduct | ||
| Regulation Best Interest | ||
| SM&CR |
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
Reg BI, which just recently took effect on June 30, 2020, goes beyond existing suitability regulations to fundamentally alter the investor protection process.
Financial Services Organizations can now benefit from unified communications while ensuring compliance with global regulations, even for remote workforces.
By providing advisors a powerful yet simple tool you can proactively ensure they are meeting the needs of their retail customers.
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
