Compliance Solutions for
Client Advisors and Portfolio Managers

As regulatory bodies around the world step up enforcement of market abuse and investment suitability regulations, wealth management firms are increasingly finding themselves in the spotlight for questionable surveillance and suitability practices. With reputations and multimillion-dollar fines on the line, vigilant supervision of regulated users is essential.

Take your Trade-Related Surveillance to a Whole New Level

Multi-Dimensional Analytics Using all Trade-Related Data
Uses Natural Language Processing (NLP) to process all Communications
Events Reconstructed to Demonstrate True Intent
Discovers Previously Unknown Risk
Cloud Agility and Cost Savings
Provides Full Global Regulatory Coverage

 

The SURVEIL-X Advantages for Wealth Management

Complete Surveillance Coverage
 
  • All-in-One Turnkey Solution
  • Analyzes All Data Sources
  • Detect Known and Unknown Risk
  • Use More Data Sources
  • Surveils All Communications
  • One Solution for All Asset Classes
  • Cross-Market/Product Manipulation
Cloud Platform-as-a-Service
 
  • Faster Deployment
  • Reduced Costs for Infrastructure and Maintenance
  • Hassle-Free Upgrades
  • Seamless Scalability
  • Improved Resiliency and Security
  • Streamlined Innovation
AI-Powered Analytic Techniques
 
  • Multi-Dimensional Analytics
  • Natural Language Understanding
  • Broad Range of Out-of-the-Box Risk Detection
  • Models for Wealth Management
  • Model Fine-Tuning
  • Advanced Anomaly Detection
  • Flexible Client Reviews
Powerful Case Management
 
  • Enforcing Processes and Procedures
  • One Place to Work
  • Visualization and Risk Dashboarding
  • Integrated Trade Blotter

 

What’s New?

Is Outdated Surveillance Technology Putting Your Firm at Risk?

Read this complimentary eBook and learn about 4 innovative ways that SURVEIL-X can help your firm overcome surveillance challenges, while confidently complying with regulations, and staying a step ahead of risk.

Download Now