 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
Regulators view spoofing as market manipulation, and with fewer hurdles to jump, they seem increasingly determined to hunt down spoofers and weed them out.
Ultimately, conduct is the holy grail of surveillance. Firms need to look at conduct surveillance not just as a regulatory requirement, but as investment that can drive value for the whole organization.
While COVID-19 probably won’t bring relief from regulations, it is providing an opportunity for firms to take their compliance operations to the next level.
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
