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Relativity Trace from Relativity

Proactive compliance monitoring solution that detects misconduct in electronic communications. Features include real-time monitoring, intelligent alerting, integrated case management, and customizable rule sets for fund management compliance workflows.

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Product analysis by function

Trade Surveillance Systems for Risk & Compliance

Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
More Trade Surveillance Systems More Risk & Compliance ...

Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)

Data Management & Integration
(0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates
(0 Yes /0 Known /9 Possible features)

Alert Management
(0 Yes /0 Known /9 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /8 Possible features)

Security & Privacy
(0 Yes /0 Known /8 Possible features)

Reporting & Analytics
(0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics
(0 Yes /0 Known /8 Possible features)

Deployment & Maintenance
(0 Yes /0 Known /8 Possible features)

Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms
(0 Yes /0 Known /7 Possible features)

Secure Communication Monitoring for Risk & Compliance

Systems that capture, archive, and monitor electronic communications including email, chat, and voice to ensure compliance with recordkeeping requirements and prevent inappropriate communications.
More Secure Communication Monitoring More Risk & Compliance ...

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Regulatory Compliance
(0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)

Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)

Integration & Interoperability
(0 Yes /0 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)

Electronic Communications Surveillance for Compliance

Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
More Electronic Communications Surveillance More Compliance ...

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Detection and Analytics
(0 Yes /0 Known /11 Possible features)

Alerting and Workflow
(0 Yes /0 Known /11 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /11 Possible features)

Data Management and Integration
(0 Yes /0 Known /11 Possible features)

User Experience and Access Control
(0 Yes /0 Known /11 Possible features)

Security
(0 Yes /0 Known /11 Possible features)

Deployment and Scalability
(0 Yes /0 Known /11 Possible features)

Reporting and Audit
(0 Yes /0 Known /11 Possible features)

Vendor Support and Maintenance
(0 Yes /0 Known /10 Possible features)

Cost Transparency and Commercials
(0 Yes /0 Known /10 Possible features)

Trade Surveillance Systems for Compliance

Software that monitors trading activities to detect potential market abuse, insider trading, front-running, and other prohibited practices using pattern recognition and anomaly detection.
More Trade Surveillance Systems More Compliance ...

Core Surveillance Capabilities
(0 Yes /0 Known /14 Possible features)

Market Abuse Detection
(0 Yes /0 Known /10 Possible features)

Data Integration and Coverage
(0 Yes /0 Known /9 Possible features)

Alert Management and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Reporting and Analytics
(0 Yes /0 Known /9 Possible features)

Scalability and Performance
(0 Yes /0 Known /8 Possible features)

Compliance Coverage and Regulatory Support
(0 Yes /0 Known /6 Possible features)

User Access, Roles, and Security
(0 Yes /0 Known /7 Possible features)

Configurability and Extensibility
(0 Yes /0 Known /5 Possible features)

Machine Learning & Advanced Analytics
(0 Yes /0 Known /6 Possible features)

Support, Training, and Vendor Services
(0 Yes /0 Known /6 Possible features)

Audit Trail and Record-Keeping Systems for Compliance

Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
More Audit Trail and Record-Keeping Systems More Compliance ...

Data Capture & Transaction Logging
(0 Yes /0 Known /15 Possible features)

Access Controls & Security
(0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /15 Possible features)

Scalability & Performance
(0 Yes /0 Known /15 Possible features)

Reporting & Analytics
(0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity
(0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search
(0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging
(0 Yes /0 Known /15 Possible features)

User Experience & Administration
(0 Yes /0 Known /15 Possible features)

Integration & Interoperability
(0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity
(0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization
(0 Yes /0 Known /15 Possible features)

Compare

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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse.		No information available
Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access.		No information available
Front-Running Detection Ability to detect trades executed ahead of client or fund orders.		No information available
Wash Trade Detection Detection of self-trading or artificially generated trades.		No information available
Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders.		No information available
Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives).		No information available
Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria.		No information available
Real-time Monitoring Capability to analyze trading activity as it happens.		No information available
Historical Analysis Ability to review and analyze past trading data for retrospective investigations.		No information available
Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach.		No information available
Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors.		No information available

Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference).		No information available
Data Normalization Automatically transforms heterogeneous data formats into a unified structure.		No information available
Real-time Data Ingestion Speed Latency from data input to analysis.		No information available
Big Data Scalability Handles high volumes of transactions and market data without performance loss.		No information available
APIs for Integration Standard APIs for integration with other front/middle/back office systems.		No information available
Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions.		No information available
Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes).		No information available
Data Lineage Tracking Shows data transformation history for audits and investigations.		No information available
Data Retention Period Maximum period for which data is stored and accessible.		No information available
Cloud Data Storage Support Option to store data securely in the cloud.		No information available

Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA).		No information available
Jurisdiction Awareness Easily applies rules by geographical region or regulator.		No information available
Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes.		No information available
Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies.		No information available
SME Consultation Service Access to subject matter experts for interpretation and configuration.		No information available
Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review.		No information available
Compliance Dashboard Real-time visualization of compliance status and exposures.		No information available
Regulator Submission Automation Automates periodic or ad-hoc regulatory filing.		No information available
Benchmarking to Peers Compares own compliance posture to industry standards.		No information available

Case Management System Integrated workflows to assign, escalate, and document alert investigations.		No information available
Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently.		No information available
Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates.		No information available
Alert Volume Capacity Maximum number of alerts the system can generate/manage daily.		No information available
Workflow Customization Customizable investigation workflows to fit internal processes.		No information available
Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking.		No information available
Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts.		No information available
Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously.		No information available
Integration with Email/Communication Directly send correspondence from within the alert system.		No information available

Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management).		No information available
Mobile Device Access Access system via tablets, mobile phones, or browser-based apps.		No information available
Role-Based Access Control Limit data and functionality access based on user roles.		No information available
Multi-language Support Available in multiple languages for global teams.		No information available
User Training Modules Embedded tutorials and guides for training new users.		No information available
Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation).		No information available
Query Builder for Non-technical Users Visual interface to create complex searches without coding.		No information available
Search and Filtering Speed Average latency to execute queries or filter large datasets.		No information available

Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer.		No information available
Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication.		No information available
Multi-Factor Authentication (MFA) Requires two or more authentication factors for access.		No information available
Detailed User Access Logging Complete logs of all user access and actions.		No information available
GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws.		No information available
Regular Security Audits Periodic internal and third-party penetration testing.		No information available
Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required.		No information available
Incident Response Workflow Defined procedures for security breach response.		No information available

Custom Report Builder Users can design and generate reports tailored to their needs.		No information available
Regulatory Reporting Templates Pre-built formats for standard regulatory filings.		No information available
Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals.		No information available
Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel).		No information available
Ad hoc Query Support Generate reports or data sets on the fly as needed.		No information available
Interactive Data Visualization Graphical dashboards and analytics tools for insight.		No information available
Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations.		No information available
Report Generation Speed Average time to generate standard compliance reports.		No information available

Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks.		No information available
Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues.		No information available
Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes.		No information available
Predictive Analytics Forecasts likely future risks based on historical trends.		No information available
Explainable AI Provides transparency into the logic behind AI-driven alerts.		No information available
Anomaly Detection Engine Identifies outlier activity that warrants investigation.		No information available
False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics.		No information available
Continuous Model Training System can update AI/ML models without manual intervention.		No information available

Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution.		No information available
On-Premise Deployment Option Supports a local installation option for sensitive environments.		No information available
Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure.		No information available
Uptime/Availability SLA Level of guaranteed system uptime.		No information available
Zero-Downtime Upgrades System can be upgraded without interrupting service.		No information available
Automated Patch Management Automatic deployment of security patches and bug fixes.		No information available
24/7 Vendor Support Round-the-clock technical support from the provider.		No information available
Performance Monitoring Tools Comprehensive tracking of application health and speed.		No information available

Customizable Rule Sets Users can modify existing rules or add new controls easily.		No information available
Plugin/Extension Interface Supports third-party add-ons or internal custom modules.		No information available
White Labeling Capability System can be branded to an organization's specifications.		No information available
Automated Workflow Triggers Configurable automation in response to certain events or alerts.		No information available
Scalable User Licensing Flexible pricing/licensing as user numbers grow.		No information available
Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule.		No information available
Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers).		No information available

Transparent Fee Structure Clear upfront pricing with no hidden fees.		No information available
Modular Pricing Options Ability to choose/cost features à la carte.		No information available
Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost.		No information available
Scalability of Costs Costs scale appropriately with usage, users, or data volume.		No information available
Free Trial/Proof of Concept Offered prior to contract to validate suitability.		No information available
Flexible Contract Length Ability to agree short- or long-term contracts.		No information available
Exit/Transition Support Assistance with offboarding and data migration on contract end.		No information available

End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties.		No information available
Data at Rest Encryption Protects stored data from unauthorized access using encryption.		No information available
Transport Layer Security (TLS) Utilizes TLS protocols for secure communications.		No information available
Key Management Robust system for managing encryption keys, including rotation and revocation policies.		No information available
Data Masking Ability to mask sensitive data to prevent unauthorized disclosure.		No information available
Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access.		No information available
Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse.		No information available
Audit Logging Maintains secure logs of all actions and changes for audit trail.		No information available
Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration.		No information available
Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance.		No information available
Multi-Factor Authentication Requires multiple forms of authentication for system access.		No information available
Intrusion Detection Monitors data environments for signs of intrusion or compromise.		No information available
Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2.		No information available
Security Patch Management Ensures prompt deployment of security updates and patches.		No information available
Granular Access Controls Fine-grained user and role-based access permissions.		No information available

Email Monitoring Can capture and analyze email communications from various providers.		No information available
Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp.		No information available
Voice Communication Monitoring Records and analyzes voice calls for compliance.		No information available
Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook.		No information available
SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS.		No information available
Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms.		No information available
Mobile Device Integration Ability to monitor communications on mobile platforms.		No information available
Multi-Language Support Understands and processes communications in multiple languages.		No information available
Cloud App Integration Integrates with SaaS communication tools.		No information available
Real-time Data Capture Ability to monitor and capture communications in real time.		No information available
Legacy System Integration Compatibility with on-premise and older systems.		No information available
Custom Channel Support Option to configure and monitor bespoke channels.		No information available

MiFID II Compliance Ensures monitoring features enable compliance with MiFID II.		No information available
SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements.		No information available
GDPR Support Facilitates privacy and data protection under the European GDPR.		No information available
Retention Policy Management Configurable message retention periods for regulatory requirements.		No information available
Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators.		No information available
Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices.		No information available
Exportable Audit Trails Easily exportable, immutable logs to share with regulators.		No information available
Data Sovereignty Controls Ensures data remains within legally required geographic boundaries.		No information available
Certification Documentation Provides compliance certificates and documentation support.		No information available
Workflow for Legal Hold Supports litigation hold requirements on communication records.		No information available

Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms.		No information available
Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection.		No information available
Natural Language Processing (NLP) Uses NLP to understand context and intent in communications.		No information available
Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations.		No information available
Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact.		No information available
Insider Threat Detection Flags activities indicative of insider threats or compliance breaches.		No information available
Automated Alert Generation Automatically generates alerts for high-risk communications.		No information available
False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives.		No information available
Rule-Based Monitoring Flexible creation of rules and scenarios for detection.		No information available
Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors.		No information available
Volume of Communications Processed Maximum amount of data/messages processed per day.		No information available

24/7 Customer Support Availability of round-the-clock technical assistance.		No information available
Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution.		No information available
Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials.		No information available
Training/Onboarding Services Vendor provides training programs for customer teams.		No information available
Dedicated Account Manager Assignment of an account manager for ongoing relationship support.		No information available
Patch/Update Notification Alerts users to upcoming or recent system changes.		No information available
Named User Support Offers support for specific, named contacts at customer firms.		No information available
Bug Fix Response Time Average time to acknowledge and resolve critical bugs.		No information available
Customization Services Vendor can develop custom features according to client needs.		No information available
Community/Forum Access Customers can share best practices and ask questions in a user community.		No information available

Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all.		No information available
Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored.		No information available
Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees.		No information available
Transparent Billing Billing statements break down all charges by feature/use.		No information available
Trial or Pilot Options Offers low-risk pilots or trials before purchase.		No information available
Support Included in Base Price Customer support costs are included in base contract.		No information available
Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features.		No information available
Contract Duration Flexibility Variety of contract lengths available without penalties.		No information available
Discounts for Multi-year Commitments Offers reduced rates for longer agreements.		No information available
Predictable Annual Increases Stated percentage or cap on annual rate increases.		No information available

Case Management Integrated dashboards for assigning, tracking, and closing compliance cases.		No information available
Alert Workflow Management Custom workflows for triaging and resolving flagged incidents.		No information available
Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs.		No information available
Search and Filtering Advanced querying, filtering, and sorting for efficient review.		No information available
Keyword Highlighting Highlights detected keywords and phrases in investigator view.		No information available
Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts.		No information available
Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes.		No information available
Annotation and Tagging Ability to annotate and tag communications for future reference.		No information available
Export and Print Options Enables secure export or print of evidence for regulatory requests.		No information available
Time to Resolution Average time taken to close an alert or investigation.		No information available

User Scalability Maximum concurrent or supported users.		No information available
Data Storage Capacity Maximum amount of data that can be stored.		No information available
Processing Speed Average speed at which messages or records are processed.		No information available
Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment.		No information available
High Availability Designed for minimal downtime with autoscaling and redundancy.		No information available
Disaster Recovery Built-in capabilities to recover from failures or outages.		No information available
Load Balancing Distributes workload across resources to ensure stability.		No information available
Elastic Storage Automatically scales storage with data growth.		No information available

Intuitive Dashboard Modern, clear user interface for quick overview and navigation.		No information available
Customizable Views Personalized dashboard, reporting, and alert configurations.		No information available
Role-Based Access Control Functionality and access limited by user roles and permissions.		No information available
Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access.		No information available
Mobile Access Ability to access monitoring functions from mobile devices.		No information available
Accessibility Compliance Adherence to standards such as WCAG for disabled users.		No information available
Multi-Lingual Interface User interface available in multiple languages.		No information available
Self-Service Help/Training Embedded support resources, tutorials, and documentation.		No information available
Notification Preferences Users can customize the types and frequency of alerts/notifications.		No information available

Open API Comprehensive API for integrating with other enterprise systems.		No information available
HR System Integration Ability to import user/entity metadata from HR databases.		No information available
SIEM Integration Integrates with Security Information and Event Management tools.		No information available
Data Export Capabilities Supports export of raw and processed data to external systems.		No information available
Active Directory Compatibility Syncs with corporate directory and identity management solutions.		No information available
Custom Integration Support Provides professional services for custom integrations.		No information available
Webhook Notifications Supports real-time event notification through webhooks.		No information available
Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools.		No information available

Custom Report Builder Easy-to-use interface for generating tailored reports.		No information available
Scheduled Reporting Automated delivery of regular reports to specified recipients.		No information available
Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc.		No information available
Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends.		No information available
Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages.		No information available
Regulatory Filing Support Templates and exports for regulatory reporting.		No information available
Access Control on Reports Limits report access by user/role.		No information available
Historical Data Comparison Compare metrics and alert rates over different timeframes.		No information available

Privacy-by-Design Features Default settings and architectures protect user privacy.		No information available
Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring.		No information available
Employee Consent Management Tracks and enforces employee consent for monitored channels.		No information available
Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users.		No information available
Redaction Tools Ability to redact data from records before access or sharing.		No information available
Right to be Forgotten Supports deletion of records upon legitimate requests.		No information available
Data Minimization Collects and retains only necessary data.		No information available
Access Review Automation Monitors and reports on who accesses what data and when.		No information available

24/7 Support Availability Round-the-clock customer or technical support.		No information available
Onboarding Assistance Help with initial setup, configuration, and migration.		No information available
Regular Updates Continuous improvement and maintenance with regular updates.		No information available
Knowledge Base Access Comprehensive support portal with documentation and FAQs.		No information available
User Community Active online community for sharing best practices and troubleshooting.		No information available
Dedicated Account Manager Single point-of-contact for customer relationship.		No information available
Service Level Agreement (SLA) Defined response and resolution times for support inquiries.		No information available
Training Options Availability of live or web-based training sessions.		No information available

Email Monitoring Ability to capture and analyze email correspondence for compliance risks.		No information available
Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance.		No information available
Voice Surveillance Monitors recorded voice calls for keywords or risk indicators.		No information available
Social Media Surveillance Captures relevant external and internal social media posts.		No information available
Mobile Device Coverage Ability to monitor communications across mobile devices.		No information available
Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms.		No information available
Application Support Number of distinct communication applications supported for monitoring.		No information available
Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data.		No information available
Historic Data Import Supports ingestion of historic communication data for analysis.		No information available
Multilingual Coverage Ability to monitor and analyze communications in multiple languages.		No information available
Attachment Analysis Analyzes file attachments for potential violations.		No information available
Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels.		No information available

Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content.		No information available
Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications.		No information available
Behavioral Pattern Analysis Detects unusual user behavior or communication patterns.		No information available
Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives.		No information available
Risk Scoring Assigns risk scores to incidents/messages for prioritization.		No information available
Custom Rule Creation Allows users to define and adapt detection rules.		No information available
False Positive Reduction Rate Capability of the system to decrease the rate of false positives.		No information available
Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC).		No information available
Sensitive Data Detection Flags personal, confidential or proprietary information.		No information available
Data Visualization Provides interactive graphics for incident trends, user activity, etc.		No information available
Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats.		No information available

Real-time Alerting Immediate flagging and notification of detected risks or violations.		No information available
Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts.		No information available
Customizable Workflow Supports tailoring of review/investigation workflow steps.		No information available
Case Management Integration Enables creation and tracking of cases linked to alerts.		No information available
Audit Trail Full logging of actions and changes for regulatory evidence.		No information available
Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules.		No information available
Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts.		No information available
Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases.		No information available
Reviewer Collaboration Tools Enables teams to work together on case investigations.		No information available
Notifications & Reminders Automated email or in-app reminders for outstanding cases.		No information available
SLA Management Monitors and enforces service-level agreement timelines for investigations.		No information available

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Financial Technology Year

Relativity Trace from Relativity

Product analysis by function

Trade Surveillance Systems for Risk & Compliance

Core Surveillance Capabilities (0 Yes /0 Known /11 Possible features)

Data Management & Integration (0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates (0 Yes /0 Known /9 Possible features)

Alert Management (0 Yes /0 Known /9 Possible features)

User Experience & Accessibility (0 Yes /0 Known /8 Possible features)

Security & Privacy (0 Yes /0 Known /8 Possible features)

Reporting & Analytics (0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics (0 Yes /0 Known /8 Possible features)

Deployment & Maintenance (0 Yes /0 Known /8 Possible features)

Configurability & Extensibility (0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms (0 Yes /0 Known /7 Possible features)

Secure Communication Monitoring for Risk & Compliance

Data Security (0 Yes /0 Known /15 Possible features)

Communication Channel Coverage (0 Yes /0 Known /12 Possible features)

Regulatory Compliance (0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics (0 Yes /0 Known /11 Possible features)

Review and Investigation Tools (0 Yes /0 Known /10 Possible features)

Scalability & Performance (0 Yes /0 Known /8 Possible features)

User Experience & Accessibility (0 Yes /0 Known /9 Possible features)

Integration & Interoperability (0 Yes /0 Known /8 Possible features)

Reporting & Visualization (0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls (0 Yes /0 Known /8 Possible features)

Support & Maintenance (0 Yes /0 Known /8 Possible features)

Electronic Communications Surveillance for Compliance

Communication Channel Coverage (0 Yes /0 Known /12 Possible features)

Detection and Analytics (0 Yes /0 Known /11 Possible features)

Alerting and Workflow (0 Yes /0 Known /11 Possible features)

Regulatory Compliance Support (0 Yes /0 Known /11 Possible features)

Data Management and Integration (0 Yes /0 Known /11 Possible features)

User Experience and Access Control (0 Yes /0 Known /11 Possible features)

Security (0 Yes /0 Known /11 Possible features)

Deployment and Scalability (0 Yes /0 Known /11 Possible features)

Reporting and Audit (0 Yes /0 Known /11 Possible features)

Vendor Support and Maintenance (0 Yes /0 Known /10 Possible features)

Cost Transparency and Commercials (0 Yes /0 Known /10 Possible features)

Trade Surveillance Systems for Compliance

Core Surveillance Capabilities (0 Yes /0 Known /14 Possible features)

Market Abuse Detection (0 Yes /0 Known /10 Possible features)

Data Integration and Coverage (0 Yes /0 Known /9 Possible features)

Alert Management and Investigation Tools (0 Yes /0 Known /10 Possible features)

Reporting and Analytics (0 Yes /0 Known /9 Possible features)

Scalability and Performance (0 Yes /0 Known /8 Possible features)

Compliance Coverage and Regulatory Support (0 Yes /0 Known /6 Possible features)

User Access, Roles, and Security (0 Yes /0 Known /7 Possible features)

Configurability and Extensibility (0 Yes /0 Known /5 Possible features)

Machine Learning & Advanced Analytics (0 Yes /0 Known /6 Possible features)

Support, Training, and Vendor Services (0 Yes /0 Known /6 Possible features)

Audit Trail and Record-Keeping Systems for Compliance

Data Capture & Transaction Logging (0 Yes /0 Known /15 Possible features)

Access Controls & Security (0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support (0 Yes /0 Known /15 Possible features)

Scalability & Performance (0 Yes /0 Known /15 Possible features)

Reporting & Analytics (0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity (0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search (0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging (0 Yes /0 Known /15 Possible features)

User Experience & Administration (0 Yes /0 Known /15 Possible features)

Integration & Interoperability (0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity (0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization (0 Yes /0 Known /15 Possible features)

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Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)

Data Management & Integration
(0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates
(0 Yes /0 Known /9 Possible features)

Alert Management
(0 Yes /0 Known /9 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /8 Possible features)

Security & Privacy
(0 Yes /0 Known /8 Possible features)

Reporting & Analytics
(0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics
(0 Yes /0 Known /8 Possible features)

Deployment & Maintenance
(0 Yes /0 Known /8 Possible features)

Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms
(0 Yes /0 Known /7 Possible features)

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Regulatory Compliance
(0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)

Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)

Integration & Interoperability
(0 Yes /0 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Detection and Analytics
(0 Yes /0 Known /11 Possible features)

Alerting and Workflow
(0 Yes /0 Known /11 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /11 Possible features)

Data Management and Integration
(0 Yes /0 Known /11 Possible features)

User Experience and Access Control
(0 Yes /0 Known /11 Possible features)

Security
(0 Yes /0 Known /11 Possible features)

Deployment and Scalability
(0 Yes /0 Known /11 Possible features)

Reporting and Audit
(0 Yes /0 Known /11 Possible features)

Vendor Support and Maintenance
(0 Yes /0 Known /10 Possible features)

Cost Transparency and Commercials
(0 Yes /0 Known /10 Possible features)

Core Surveillance Capabilities
(0 Yes /0 Known /14 Possible features)

Market Abuse Detection
(0 Yes /0 Known /10 Possible features)

Data Integration and Coverage
(0 Yes /0 Known /9 Possible features)

Alert Management and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Reporting and Analytics
(0 Yes /0 Known /9 Possible features)

Scalability and Performance
(0 Yes /0 Known /8 Possible features)

Compliance Coverage and Regulatory Support
(0 Yes /0 Known /6 Possible features)

User Access, Roles, and Security
(0 Yes /0 Known /7 Possible features)

Configurability and Extensibility
(0 Yes /0 Known /5 Possible features)

Machine Learning & Advanced Analytics
(0 Yes /0 Known /6 Possible features)

Support, Training, and Vendor Services
(0 Yes /0 Known /6 Possible features)

Data Capture & Transaction Logging
(0 Yes /0 Known /15 Possible features)

Access Controls & Security
(0 Yes /0 Known /15 Possible features)

Regulatory Compliance Support
(0 Yes /0 Known /15 Possible features)

Scalability & Performance
(0 Yes /0 Known /15 Possible features)

Reporting & Analytics
(0 Yes /0 Known /15 Possible features)

Data Integrity & Authenticity
(0 Yes /0 Known /15 Possible features)

Audit Retrieval & Search
(0 Yes /0 Known /15 Possible features)

Client Communication & Interaction Logging
(0 Yes /0 Known /15 Possible features)

User Experience & Administration
(0 Yes /0 Known /15 Possible features)

Integration & Interoperability
(0 Yes /0 Known /15 Possible features)

Disaster Recovery & Business Continuity
(0 Yes /0 Known /15 Possible features)

Audit Trail Extensibility & Customization
(0 Yes /0 Known /15 Possible features)

Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions.		No information available
Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc).		No information available
Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs.		No information available
Retention Policy Management Implements and ensures compliance with data retention/archiving rules.		No information available
Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services.		No information available
Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings.		No information available
Redaction Tools Redacts sensitive data in exported or shared communications.		No information available
Supervisory Review Support Tools to monitor adherence to supervisory review processes.		No information available
Legal Hold Management Supports the ability to preserve data for future litigation as required.		No information available
Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines.		No information available
Retention Period Length Maximum length for which data can be retained for compliance.		No information available

Data Ingestion Speed Rate at which new communication records can be ingested and indexed.		No information available
Storage Scalability Ability to handle growing volumes of communications data.		No information available
Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc).		No information available
APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms.		No information available
SIEM Integration Connects to Security Information and Event Management systems.		No information available
Third-party Data Source Integration Connects and correlates data from external vendors or sources.		No information available
Custom Data Connectors Enables creation of connectors for proprietary sources.		No information available
Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.).		No information available
Search Performance Time to retrieve results for complex queries over stored communications.		No information available
Data De-duplication Removes duplicate messages to conserve storage and reduce noise.		No information available
Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics.		No information available

Role-based Access Control (RBAC) Allows granular assignment of permissions based on role.		No information available
Single Sign-On (SSO) Supports integration with enterprise SSO solutions.		No information available
Multi-factor Authentication (MFA) Requires multi-factor authentication for access.		No information available
User Interface Customization Enables customization of UI elements and workflows.		No information available
Search Functionality Advanced and intuitive search/filtering for investigators.		No information available
Bulk Actions Ability to perform actions on multiple records/cases simultaneously.		No information available
Localization User interface available in multiple languages.		No information available
Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities.		No information available
Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation.		No information available
Configurable User Roles System allows administrators to define custom roles.		No information available
Audit Access Reporting Logs and reports on user activity and access history.		No information available

Encryption In-Transit All communications data is encrypted during transmission.		No information available
Encryption At-Rest Stored data is encrypted to protect against unauthorized access.		No information available
Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications.		No information available
Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity.		No information available
Regular Security Audits Periodic third-party or internal security assessments performed.		No information available
Granular Permission Controls Allows detailed definition of permissions at user or group level.		No information available
Anomaly Detection Automated detection of unusual access or usage patterns.		No information available
IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses.		No information available
Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure.		No information available
Security Patch Frequency Regular cadence for applying security patches and updates.		No information available
User Activity Monitoring Continuously tracks and logs all significant user actions.		No information available

Cloud Deployment Supports hosting in public or private cloud environments.		No information available
On-premises Deployment Allows fully onsite installation and management.		No information available
Hybrid Deployment Supports mixed cloud and on-premises configurations.		No information available
Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users.		No information available
High Availability/Failover Built-in redundancy to minimize downtime and data loss.		No information available
Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform.		No information available
Zero Downtime Upgrades Perform updates and upgrades without service interruption.		No information available
Deployment Time Typical time to deploy solution from contract signing.		No information available
System Uptime SLA Guaranteed system availability as specified in SLA.		No information available
Resource Monitoring Continuous monitoring of system resources and health.		No information available
Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks.		No information available

Custom Report Builder Allows creation of user-defined reports on all surveillance data.		No information available
Scheduled Reporting Supports automated, recurring report generation and delivery.		No information available
Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits.		No information available
Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests.		No information available
Export Formats Supported Number of different formats available for data export (PDF, CSV, etc).		No information available
Drill-down Analytics Ability to explore details of flagged incidents/cases/reports.		No information available
Access Logging Tracks all readings and exports of records.		No information available
Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc).		No information available
Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements.		No information available
Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement.		No information available
Reviewer Performance Reporting Reports on productivity and consistency of review teams.		No information available

Real-time Monitoring The system's ability to analyze and flag suspicious trades as they happen.		No information available
Post-trade Analysis Ability to conduct surveillance on completed trades for historical pattern detection.		No information available
Pattern Recognition Automated identification of market abuse patterns such as layering, spoofing, or wash trades.		No information available
Anomaly Detection Statistical or AI-driven alerting on behaviors that deviate from historical norms.		No information available
Alert Generation Automated creation of notifications for compliance team review on flagged activities.		No information available
Custom Rule Creation Ability for users to define, implement, and adjust surveillance rules.		No information available
Rule Library Pre-built rules for fast deployment and coverage of common compliance scenarios.		No information available
Case Management Tools for documenting, tracking, and managing compliance investigations.		No information available
False Positive Reduction Mechanisms to reduce erroneous or unnecessary alerts.		No information available
Alert Prioritization System to rank the importance and urgency of alerts based on risk.		No information available
Investigation Workflow Structured process for alert review, analysis, escalation, and resolution.		No information available
Audit Trail Comprehensive logging of user actions, rule changes, and investigations for compliance.		No information available
Real-time Data Ingest Rate The maximum number of trades or messages processed per second in real-time monitoring.		No information available
Historical Data Retention Period Time duration for which trade data is maintained for surveillance and investigations.		No information available

Insider Trading Detection Ability to recognize trading activity that may be based on non-public, material information.		No information available
Front-running Detection Identification of personnel trading ahead of client or firm orders.		No information available
Spoofing/Layering Detection Detection of placing orders with intention to cancel to manipulate market appearance.		No information available
Wash Trading Detection Flagging of trades where the same party is buyer and seller.		No information available
Marking the Close Detection Flagging trades aimed at influencing closing prices.		No information available
Churning Detection Detection of excessive trading to generate commissions or fees.		No information available
Quote Stuffing Detection Identifies high volumes of order submission and cancellation to clog market data.		No information available
Reference Price Manipulation Detects attempts to distort benchmarks or reference prices.		No information available
Cross-market Manipulation Coverage Ability to correlate and detect abuse across multiple venues or asset classes.		No information available
Customizable Scenario Parameters Ability to fine-tune abuse scenarios based on firm or regulator needs.		No information available

Multi-Asset Class Support Support for equities, fixed income, options, futures, FX, crypto, etc.		No information available
Exchange Connectivity Direct feeds from major exchanges and trading venues supported.		No information available
Brokerage/OMS Integration Supports data ingestion from order management & execution systems.		No information available
Data Normalization Transforms different source data into a consistent format for analysis.		No information available
Reference Data Enrichment Enrichment of trade data with client, instrument, & market metadata.		No information available
Real-time Data Feed Support Can process and surveil incoming real-time order, execution, and market data.		No information available
Historical Data Import Bulk ingestion of legacy data for backtesting and lookback reviews.		No information available
Third-party Data Integration Ability to integrate with data from third-party vendors and regulators.		No information available
APIs for Data In/Out Public or private APIs for custom integrations to ingest/extract data.		No information available

Alert Dashboard Centralized view of current and historical alerts with filtering and sorting.		No information available
Workflow Automation Automates assignment, tracking, and management of surveillance cases.		No information available
Investigation Notes Secure and timestamped note-taking for audits and reviews.		No information available
Attachment Handling Upload and attach evidence or documents to cases or alerts.		No information available
Audit Log Immutable record of all user and system actions related to cases.		No information available
Alert Escalation Workflow for raising the severity or assigning cases to higher authority.		No information available
Disposition Tracking Track final outcomes (dismissal, SAR filing, etc.) for audit purposes.		No information available
Bulk Alert Management Tools for actioning or closing batches of alerts efficiently.		No information available
Case Re-open Functionality Allows re-examination of closed cases if new information arises.		No information available
Integration with Email/Communication Platforms Send notifications, reminders, or extract communications as part of surveillance.		No information available