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Shield Platform from Shield

End-to-end communication compliance platform designed for financial institutions including fund managers. Features include AI-powered monitoring across all communication channels, proactive risk detection, contextual analysis, advanced search capabilities, and integrated case management for investigations.

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Product analysis by function

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)

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)

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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

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

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

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

Hash Chaining Each record is cryptographically chained to prior, proving the order and integrity.		No information available
Checksum and Validation Checksums verify the completeness and accuracy of stored logs.		No information available
Tamper-evidence Mechanisms Detects any alteration; exposes if audit data is changed post-ingest.		No information available
Data Replication Multiple, geographically separated log backups.		No information available
Chain of Custody Documentation Proves unbroken record handling for evidence purposes.		No information available
Source Attribution Links every log entry to its originating system/user.		No information available
Immutable Storage Physical/virtual storage that prohibits overwriting of audit data.		No information available
Integrity Verification Scheduling Regular system-initiated audits of log/database integrity.		No information available
Signature Verification APIs Check digital signatures to prove authenticity of exported logs.		No information available
Integrity Breach Notifications Real-time alerts if data corruption or tampering is detected.		No information available
Deterministic Audit ID Generation Ensures no accidental ID collisions, for verifiable referencing.		No information available
Retention of Log Integrity Post-archive Data is never corrupted or lost, even in long-term storage.		No information available
Comprehensive Audit Trails for Internal Controls Monitors not just transactions, but all control access to sensitive data.		No information available
Automated Integrity Checks Frequency How often the system performs integrity verifications.		No information available
Trusted Time Source Synchronization Ensures events are timestamped using NIST or equivalent standard.		No information available

Automated Backups Regular point-in-time backups of all logs and settings.		No information available
High-availability Architecture Failover and clustering for zero-downtime resilience.		No information available
Geographic Redundancy Logs/data are stored in multiple regions/countries.		No information available
Disaster Recovery Plan Documentation Well-documented and regularly-updated plans for recovery.		No information available
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost due to an outage.		No information available
Recovery Time Objective (RTO) Target duration for restoring audit system access post-failure.		No information available
Automated Failover Tests Periodic exercises to validate system resilience.		No information available
Audit Log Export for Offline Archival Periodic export to offline/removable media.		No information available
Encrypted Offsite Storage Copies stored in offsite, encrypted media/datacenter.		No information available
Recovery Runbook Availability Quick-access runbook for administrators to follow in disaster.		No information available
Service Continuity SLAs Guaranteed recovery/availability backed by contractual SLAs.		No information available
Failover Drill Audit Logs Proof of successful drills and their regularity.		No information available
Restore Verification Reports Automated reports post-backup/restore to verify completeness.		No information available
Redundant Systems for Power/Network Physical redundancy in datacenters (UPS, generators, network routes).		No information available
Test Environment Separation DR test and production physically/logically separated.		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

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

Comprehensive Transaction Logging Records all client orders, executions, amendments, and cancellations.		No information available
Event Timestamping Accuracy Records time with sub-second granularity for all events.		No information available
Change Tracking for Records Any modification or deletion is fully recorded (who/what/when/why).		No information available
Read-only Access to Historical Data Historical audit logs are immutable and non-editable by users.		No information available
Unique Event Identification Every transaction/event is assigned a unique identifier for audit tracing.		No information available
Version Control Supports roll-back and inspection of all previous states of data.		No information available
Automated Archival Automates the retention and archiving of records by retention policies.		No information available
Error/Event Log Retention Logs all system/process errors and warnings for troubleshooting.		No information available
Record Volume Capacity Maximum number of records stored without system degradation.		No information available
System-wide Audit Consistency Checks Regular validation for consistency and integrity across audit records.		No information available
Automated Exception Capture Detects and logs deviations from expected or compliant behavior.		No information available
Support for Digital Signatures Logs can be cryptographically signed to prove non-alteration.		No information available
Data Capture for External Integrations Records activities arising from API or external system integrations.		No information available
Anonymized Audit Trails Option to anonymize data for privacy while preserving audit value.		No information available
Real-time Data Capture Latency Time from event occurrence to log entry.		No information available

Role-based Access Control (RBAC) Configurable permissions based on defined user roles.		No information available
Multi-factor Authentication (MFA) Requires multiple forms of identity verification to access audit data.		No information available
Audit Trail Encryption Audit logs and records are encrypted at-rest and in-transit.		No information available
Immutable Audit Logs Prevents purging or altering audit data except by system processes.		No information available
Fine-grained Access Control User and group level restriction for querying or exporting specific logs.		No information available
Access Log Monitoring Monitors all attempts to view/download audit information.		No information available
Audit Access Reporting Produces detailed logs of who accessed what audit information and when.		No information available
Privilege Escalation Alerts Notifies administrators of unauthorized access attempts or privilege changes.		No information available
Custom Security Policies Ability to define password policies, access expiration, whitelisting, etc.		No information available
IP Whitelisting/Blacklisting Limits access to authorized devices/networks only.		No information available
Session Timeout Settings Automatically logs users out after inactivity.		No information available
Data Retention Policy Enforcement Controls when logs are deleted or archived per compliance mandates.		No information available
Tamper Evident Logging Automatically detects any attempts to alter or delete logs.		No information available
Automatic Security Patch Updates Keeps system up to date with the latest security measures.		No information available
Audit Data Masking Sensitive client identifiers within the logs are masked where applicable.		No information available

Retention Period Configurability Allows retention periods to be set for specific jurisdictions, e.g., 7 years for SEC.		No information available
Audit Schema Compliance Supports standardized data formats/layouts required by regulators.		No information available
Regulation Change Updates System can be updated for new or altered regulatory data requirements.		No information available
Historical Data Reconciliation Tools Aids in reconciling log records for periodic regulatory reviews.		No information available
Automated Regulatory Filing Direct link for submitting requisite audit files to regulators.		No information available
Country/Jurisdiction Selector Enables switching between compliance standards for multiple regions.		No information available
GDPR/CCPA Privacy Features Enables deletion/anonymization in line with international privacy laws.		No information available
Advanced Search by Regulatory Criteria Filters logs by fields or tags required for compliance.		No information available
Retention Violation Alerts Active notifications for non-compliance with retention policies.		No information available
Subpoena/Regulator Request Handling Expedited processes for presenting data under legal or regulatory demand.		No information available
Regulator API Integration Ready-to-use connectors for uploading required logs to regulatory portals.		No information available
Encryption Key Management Demonstrates compliance with data encryption standards and auditability.		No information available
Risk-based Audit Access Applies stricter controls on sensitive or high-risk audit records.		No information available
Automated Expiry Notifications Alerts admin prior to deletion/archive in regulated timeframes.		No information available
Evidence of Compliance Documentation Built-in generation of compliance attestation reports.		No information available

Maximum Throughput Peak volume of records written per second with no data loss.		No information available
Low-latency Write Capability Shortest duration for audit entry to persist after the triggering event.		No information available
Concurrent User Support Number of users who can read/query the log system simultaneously without performance degradation.		No information available
Horizontal Scaling Support Easily adds server nodes or cloud instances to support growth.		No information available
Max Storage Capacity Maximum data storage supported on a single deployment.		No information available
Real-time Search Indexing Updates search indices in real-time as new records are written.		No information available
System Resource Auto-scaling Dynamically allocates compute and storage resources.		No information available
Time to Restore Logs (RTO) Duration to restore full log access following outage/failure.		No information available
Data Ingestion APIs High-performance APIs for bulk and streaming log entry.		No information available
Support for Multiple Log Streams Parallel ingestion and handling of different audit sources.		No information available
Load Balancing Distributes incoming audit data for consistent performance.		No information available
Non-blocking Write Architecture Writing audit logs does not block trading or compliance operations.		No information available
System Monitoring and Metrics Tracks throughput, latency, and error rates for health monitoring.		No information available
Archive Retrieval Speed Speed for accessing historical, archived records.		No information available
Bulk Import/Export Capability Efficiently handles mass data migrations.		No information available

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Financial Technology Year

Shield Platform from Shield

Product analysis by function

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)

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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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)

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)

Custom Audit Reports Configurable templates for summary and detail views.		No information available
Scheduled Report Generation Automates regular audit/regulatory reports.		No information available
Visual Dashboards Interactive data visual representation for key metrics/trends.		No information available
Anomaly Detection Identifies and highlights deviations from normal audit patterns.		No information available
Advanced Query Language Support Enables complex, ad hoc audit data interrogations.		No information available
Export to Multiple File Formats Extract data as PDF, XLSX, CSV, XML, etc. for sharing.		No information available
Filter and Drill-down Capabilities Users can drill down from summary to granular transaction details.		No information available
Historical Trend Analysis Compares audit data over time to identify recurring issues.		No information available
User Customization of Metrics Users define which audit statistics are tracked/displayed.		No information available
Automated Daily Summaries System-generated summary of daily compliance and transaction activities.		No information available
Data Visualization Widgets Multiple chart types and widgets for new insights.		No information available
Pre-built Regulatory Report Templates Templates for quick export of commonly requested audit documents.		No information available
Usage Analytics Tracks how and when the audit trail features are used.		No information available
Alert Generation for Report Findings System-generated alerts for outliers, gaps, or risks found in reports.		No information available
Auditable Report History Keeps history of report accesses, downloads, and recipients.		No information available

Full-text Search Capability Searches all indexed fields and raw content of records.		No information available
Indexed Querying Indexed fields for performance optimization (dates, user IDs, transaction IDs, etc.).		No information available
Time Range Search Search and filter on specific time periods or ranges.		No information available
Advanced Filter Options Allows multi-level facet filtering by various attributes.		No information available
Saved Search Queries Users can save common or complex search filters for re-use.		No information available
Real-time Results Display Updates search results instantly as new data arrives.		No information available
Export Search Results Easily export filtered records to multiple file formats.		No information available
Bulk Retrieval Capability Download or move large volumes for compliance review.		No information available
Search Result Pagination For large results, supports user-friendly browsing and navigation.		No information available
User-specific Search History Retains past user search queries for audit and workflow efficiency.		No information available
Auto-complete & Query Suggestions Aids users in forming accurate queries faster.		No information available
Legal Hold Functionality Locks relevant records to prevent deletion during investigation.		No information available
Partial Match and Fuzzy Search Supports approximate matching for user error tolerance.		No information available
Complex Boolean Query Support Combine AND, OR, NOT operators for sophisticated searching.		No information available
Search Query Response Time How quickly a query returns results regardless of log size.		No information available

Call Recording Integration Captures and stores audio of all voice interactions with clients.		No information available
Chat and Messaging Capture Automatically archives all IM, chat, and platform messages.		No information available
Email Logging Captures all inbound/outbound client correspondence emails.		No information available
In-person Meeting Notes Audit Logs official summaries and sign-off for physical meetings.		No information available
Omni-channel Communication Archiving Integration with multiple comms platforms (SMS, social, apps, etc.).		No information available
Searchable Communication Archives All captured communications are easily searchable.		No information available
Communication Tagging Label communications for easy retrieval (topic, case, urgency, etc.).		No information available
Retention Policy by Channel Retention rules can be set by communication mode.		No information available
Compliance Keyword Detection Automated flagging of key terms (insider dealing, etc.).		No information available
Consent Management Logs and manages client consent for call/communication recording.		No information available
Message Integrity Checking Ensures archive completeness with no missing data.		No information available
Attachment Archiving Stores and indexes all communication attachments and files.		No information available
Multi-language Support Logs communications in any supported language and script.		No information available
Client ID Cross-referencing Links all communications with client account identifiers.		No information available
Bulk Export for Review Allows export of full communication records for audits.		No information available

Intuitive User Interface Simple, clear navigation for all user types.		No information available
Role-based Dashboard Customization Dashboards tailored to the needs of different users.		No information available
Audit Log API Documentation Comprehensive developer guides for third-party/system integration.		No information available
Single Sign-on (SSO) Integration with standard SSO providers for ease of logging in.		No information available
Self-service Password Reset Users can reset their own credentials securely.		No information available
Bulk User Import/Management Admin can add/remove groups of users efficiently.		No information available
Granular Audit Permission Assignments Detailed control of which users may query/export/alter audit settings.		No information available
In-app Help/Guided Tutorials Contextual, step-by-step guidance for new users.		No information available
Change Management Audit Logs system config changes (updates, patches, settings, etc.).		No information available
Real-time Admin Alerts Admin is notified of unusual events, threshold triggers, or failures.		No information available
Scheduled Backups and Maintenance Administrative scheduling for backups, archiving, and cleanup.		No information available
Multi-lingual Interface Support Interface can be localized for global teams.		No information available
User Session Tracking Monitor and log all user sessions for audit and training.		No information available
Custom Branding Supports branding portal/logs for client-facing platforms.		No information available
Up-time Monitoring System continually tracks/alerts on service availability.		No information available

Open API Access Well-documented API for read/write/stream audit records.		No information available
Integration with Core Trading Platforms Standardized connectors to major OMS/EMS/back-office/CRM systems.		No information available
3rd Party Data Enrichment Support Ability to link/join with external KYC, payment, market data, etc.		No information available
Regulatory Gateway Connections Connects directly to regulatory data submission endpoints.		No information available
Bulk Import/Export via File Transfer Batch exchange with external environments using SFTP, etc.		No information available
Cloud Service Integration Works with AWS, Azure, GCP storage and analytics services.		No information available
Message Broker Compatibility Supports Kafka, RabbitMQ, etc. for real-time event streaming.		No information available
Webhooks and Callbacks Triggers custom actions when specific audit events occur.		No information available
Single Sign-On (SSO) Federation Supports SSO integration for seamless access across apps.		No information available
Data Format Interoperability Supports multiple standards (JSON, XML, FIX, CSV).		No information available
Connectors to Data Lakes/Warehouses Exports log data to central analytics environments.		No information available
Automated Data Sync Scheduling Schedules and executes regular data sync jobs.		No information available
Legacy System Migration Support Tools for importing and transforming data from prior log systems.		No information available
Remote System Health Monitoring Integration with enterprise IT monitoring tools.		No information available
Integrated API Throttling & Rate Limits Prevents overload and ensures stable performance.		No information available

Custom Event Schema Definition Define custom fields/types for new audit events.		No information available
Configurable Audit Policies Easily adjust what is logged, how, and for how long.		No information available
Plugin/Module Support Third-party/ISV plugins for new integrations or features.		No information available
UI Customization Tailor look, feel, and workflows to organization needs.		No information available
Workflow Automation Customizable rules for alerting, approval, notifications, etc.		No information available
Field-level Security Customization Configurable security for different data fields or types.		No information available
Audit Metadata Tagging Supports tagging with business, product, client, or compliance tags.		No information available
Retention Rule Customization Supports custom periods/behaviors for log retention.		No information available
SSO / Identity Provider Integration Support for any SAML/OIDC compatible ID provider.		No information available
Custom Alert/Notification Configuration Custom rules for when/whom to notify for audit events.		No information available
Multi-tenancy Support Manages separation and security among different business units.		No information available
Localization - Custom Language Packs Ability to add new languages for GUI/reporting.		No information available
API Middleware Customization Configure pre/post API processing logic.		No information available
Regulatory Requirement Override Override defaults to meet emerging regulatory needs.		No information available
Field Mapping for Data Export Flexibly define how fields are mapped in export.		No information available