Financial Markets Compliance Solutions
Intent to manipulate is now a violation – can you really find the true intent?
Today's dynamic financial markets require you to maintain your compliance in a rapidly changing environment. Financial institutions have no shortage of challenges: regulations vary by market, country, and asset class; all types of communications must be recorded, stored, and available for replay; and supervisory controls and conflicts must be managed effectively. Our Financial Markets Compliance solutions provide complete coverage across the global financial markets, by asset class, market, and regulatory jurisdiction. Our holistic compliance coverage ensures that you can stay compliant, competitive, and effective while lowering risk and the chances of reputational damage.
Why NICE Actimize for Financial Markets Compliance?
End-to-end – Hundreds of proven models for end-to-end surveillance, supervision, and compliance risk management
Comprehensive – Broad coverage across geographies, asset classes, and markets
Experience – Backed by 100+ years of staff expertise around the world, including former regulators and compliance officers
Proven – Used by 10 of the top 10 global investment banks as well as industry regulators
Trade compliance solutions across asset classes, markets, and global regulations. Effectively and proactively meet global regulatory requirements with broad offerings designed to protect your firm from anomalous and non-compliant activities.
Voice and digital interaction data analysis to mitigate risk and achieve compliance. Take a pro-active approach to ensure compliance and to reduce risk of regulatory penalties using our solutions to manage and analyze your trading communications.
Holistic surveillance and resolution for trade and communications data. Pro-actively detect breaches of compliance rules on the trading floor.
Effective controls for managing supervisory procedures and conflicts. Prepare your firm for success and avoid regulatory penalties for lax supervision with a structured, demonstrable surveillance program.