Communication Surveillance

You need a proactive approach to compliance

To ensure effective regulatory compliance, your firm must now capture all relevant communication, reconstruct trades as they occurred, and monitor all communication by the same rules. As technology has moved beyond the traditional phone call, so too are you are now responsible for monitoring and analyzing all mobile phone calls, emails, instant messaging, and social media.

Take control of the communications that impact your firm

Our Communication Surveillance solution allows you to take complete control over your trading floor communications and proactively detect breaches of compliance rules or fraud:

  • Search intelligently through all communications to reduce time and manual errors in searching
  • Reconstruct all trade communications via the different channels as they occur
  • Proactively monitor all communications to automatically raise alerts on noncompliant activities

Predict and protect before an issue arises

Protect yourself from the risks associated with compliance breaches by monitoring communications that may directly impact your firm, enabling you to act before an issue causes harm.

Solution Videos

NICE Communication Surveillance

Communications are a critical part of trading surveillance.