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
Surveillance is at an exciting inflection point. You can create a program that addresses more threats and better protects the firm from regulatory and reputational damage. But only if you don’t compromise on surveillance.
We are honored to receive for its fifth consecutive year of wins an award for our leadership in compliance solutions.
Firms must monitor, and more importantly prove consistent compliance, with the expectations set out with their clients at the onset of the relationship at the individual as well as the household level.
More Blogs »
Webinar
Analytics Webinar Series
Upcoming Webinar:
Febr. 27th, 10am EST/3pm GMT
Industry Event
Visit NICE Actimize at Booth #12
March 24-27, 2019 | Phoenix, AZ
More Events & Webinars »
’First Friday’ Demo Webinar Series
A series of demo webinars showing how you can effectively improve your compliance assurance process, reduce costs, and guarantee flawless recording of all your regulated employees and devices
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 »
