The First End-to-End Communication & Trade Compliance Suite
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 |
Compliancentral Offers Complete Regulatory Trade Compliance
Learn more about the
Trading Regulations
| Dodd-Frank | ||
| MAR | ||
| MiFID II & MiFIR | ||
| FX Code of Conduct | ||
| Regulation Best Interest | ||
| SM&CR | ||
| FCA’s Consumer Duty |
Introducing Compliancentral
The First End-to-End Communication & Trade Compliance Suite
Compliancentral captures and retains all communications (including phone, email, chats, mobile, turrets) and analyzes them along with trade and behavioral data. Using AI and advanced analytics, Compliancentral correlates employees' actions (trades and behavioral data) with communications to help your firm understand what employees said, heard and did, to uncover hidden risks.
Download our Complimentary Reports and eBooks
Communications
Monitoring
Communications Monitoring Regulatory Playbook for Regulated Employees
In this blog, Paul Cottee, Director Regulatory Compliance, has tips for compliance team on how they can improve accurate alerting and have fewer false positives.
In this blog, Paul Cottee, Director Regulatory Compliance, outlines the costly ramifications of incorrectly flagging trades, and what firms should be doing to alleviate this concern.
Ozzie Berrios addresses a few of the major regulation developments he encountered last year, as various regulatory agencies around the global made headlines in 2022.
SURVEILLANCE INSIDER
Financial services organizations are facing new compliance and regulatory challenges every day. SURVEIL-X can help your firm address growing risks associated with employee misconduct and market abuse. Watch the short videos of SURVEILLANCE INSIDER to see how SURVEIL-X can help.
Analyst Report
NICE Actimize named "Category Leader" in report:
SPARK Matrix™: Trade Surveillance and Monitoring, 2022
NICE Actimize’s SURVEIL-X scored highest across Technology Excellence and Customer Impact performance metrics