Key Compliance Solutions Offered by NICE Actimize
1. SURVEIL-X Holistic Surveillance
- Comprehensive Monitoring: Enables and accelerates regulatory trade compliance by automating compliance tasks using workflow management, AI, and ML.
- Cross-Channel Surveillance: Monitors various communication channels, including voice, email, and instant messaging, to detect and prevent misconduct.
2. Markets Surveillance
- Market Abuse Detection: Provides cross-asset class and cross-market surveillance to detect activities such as market manipulation and insider trading.
- Regulatory Compliance: Ensures adherence to global regulations by monitoring trading activities and identifying non-compliant behaviors.
3. Communications Surveillance
- Proactive Monitoring: Captures and analyzes all forms of communication to detect compliance breaches and fraudulent activities.
- Real-Time Alerts: Automatically raises alerts on non-compliant activities, enabling timely intervention and risk mitigation.
4. Trade Reconstruction
- Efficient Investigation: Reconstructs trade events by correlating communications with trading data, reducing investigation times and enhancing accuracy.
- Regulatory Reporting: Streamlines compliance processes with automated workflows and reporting, ensuring timely and accurate submissions.
5. Reg BI Surveillance
- Regulation Best Interest Compliance: Monitors and ensures adherence to the SEC's Regulation Best Interest, protecting clients' interests and maintaining firm integrity.
- Suitability Analysis: Evaluates investment recommendations to ensure they align with clients' profiles and regulatory standards.
6. Sales Practices & Suitability
- Behavioral Monitoring: Analyzes sales practices to detect and prevent unsuitable recommendations and potential misconduct.
- Compliance Assurance: Ensures that sales activities comply with internal policies and external regulatory requirements.