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
Thank You For Making Us #1!
See our most recent awards
The Hong Kong regulator issued a statement concerning manipulation schemes, where small-cap stocks have been ramped up by fraudsters before they sold out at a profit.
Paul Cottee shines his light on the latest ESMA Report on pre-hedging. The Report shows there were divergent views around many components of the pre-hedging process but finds insufficient evidence to ban the practice outright.
In this Blog, Ozzie Berrios explains why the FCA will likely continue to refine the Consumer Duty guidance in order to give the different types of companies more clarification regarding the requirements.
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