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Comprehensive solution for monitoring electronic communications in financial services including fund management. Features include real-time monitoring of voice, email, chat, and mobile communications, automated policy enforcement, trading fraud detection, and integrated case management for investigations.
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
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End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties. |
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Data at Rest Encryption Protects stored data from unauthorized access using encryption. |
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Transport Layer Security (TLS) Utilizes TLS protocols for secure communications. |
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Key Management Robust system for managing encryption keys, including rotation and revocation policies. |
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Data Masking Ability to mask sensitive data to prevent unauthorized disclosure. |
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Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access. |
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Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse. |
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Audit Logging Maintains secure logs of all actions and changes for audit trail. |
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Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration. |
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Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance. |
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Multi-Factor Authentication Requires multiple forms of authentication for system access. |
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Intrusion Detection Monitors data environments for signs of intrusion or compromise. |
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Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2. |
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Security Patch Management Ensures prompt deployment of security updates and patches. |
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Granular Access Controls Fine-grained user and role-based access permissions. |
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Email Monitoring Can capture and analyze email communications from various providers. |
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Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp. |
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Voice Communication Monitoring Records and analyzes voice calls for compliance. |
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Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook. |
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SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS. |
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Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms. |
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Mobile Device Integration Ability to monitor communications on mobile platforms. |
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Multi-Language Support Understands and processes communications in multiple languages. |
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Cloud App Integration Integrates with SaaS communication tools. |
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Real-time Data Capture Ability to monitor and capture communications in real time. |
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Legacy System Integration Compatibility with on-premise and older systems. |
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Custom Channel Support Option to configure and monitor bespoke channels. |
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MiFID II Compliance Ensures monitoring features enable compliance with MiFID II. |
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SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements. |
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GDPR Support Facilitates privacy and data protection under the European GDPR. |
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Retention Policy Management Configurable message retention periods for regulatory requirements. |
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Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators. |
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Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices. |
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Exportable Audit Trails Easily exportable, immutable logs to share with regulators. |
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Data Sovereignty Controls Ensures data remains within legally required geographic boundaries. |
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Certification Documentation Provides compliance certificates and documentation support. |
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Workflow for Legal Hold Supports litigation hold requirements on communication records. |
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Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms. |
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Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection. |
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Natural Language Processing (NLP) Uses NLP to understand context and intent in communications. |
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Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations. |
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Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact. |
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Insider Threat Detection Flags activities indicative of insider threats or compliance breaches. |
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Automated Alert Generation Automatically generates alerts for high-risk communications. |
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False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives. |
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Rule-Based Monitoring Flexible creation of rules and scenarios for detection. |
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Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors. |
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Volume of Communications Processed Maximum amount of data/messages processed per day. |
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Case Management Integrated dashboards for assigning, tracking, and closing compliance cases. |
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Alert Workflow Management Custom workflows for triaging and resolving flagged incidents. |
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Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs. |
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Search and Filtering Advanced querying, filtering, and sorting for efficient review. |
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Keyword Highlighting Highlights detected keywords and phrases in investigator view. |
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Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts. |
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Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes. |
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Annotation and Tagging Ability to annotate and tag communications for future reference. |
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Export and Print Options Enables secure export or print of evidence for regulatory requests. |
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Time to Resolution Average time taken to close an alert or investigation. |
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User Scalability Maximum concurrent or supported users. |
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Data Storage Capacity Maximum amount of data that can be stored. |
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Processing Speed Average speed at which messages or records are processed. |
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Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment. |
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High Availability Designed for minimal downtime with autoscaling and redundancy. |
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Disaster Recovery Built-in capabilities to recover from failures or outages. |
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Load Balancing Distributes workload across resources to ensure stability. |
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Elastic Storage Automatically scales storage with data growth. |
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Intuitive Dashboard Modern, clear user interface for quick overview and navigation. |
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Customizable Views Personalized dashboard, reporting, and alert configurations. |
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Role-Based Access Control Functionality and access limited by user roles and permissions. |
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Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access. |
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Mobile Access Ability to access monitoring functions from mobile devices. |
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Accessibility Compliance Adherence to standards such as WCAG for disabled users. |
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Multi-Lingual Interface User interface available in multiple languages. |
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Self-Service Help/Training Embedded support resources, tutorials, and documentation. |
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Notification Preferences Users can customize the types and frequency of alerts/notifications. |
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Open API Comprehensive API for integrating with other enterprise systems. |
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HR System Integration Ability to import user/entity metadata from HR databases. |
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SIEM Integration Integrates with Security Information and Event Management tools. |
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Data Export Capabilities Supports export of raw and processed data to external systems. |
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Active Directory Compatibility Syncs with corporate directory and identity management solutions. |
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Custom Integration Support Provides professional services for custom integrations. |
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Webhook Notifications Supports real-time event notification through webhooks. |
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Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools. |
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Custom Report Builder Easy-to-use interface for generating tailored reports. |
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Scheduled Reporting Automated delivery of regular reports to specified recipients. |
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Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc. |
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Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends. |
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Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages. |
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Regulatory Filing Support Templates and exports for regulatory reporting. |
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Access Control on Reports Limits report access by user/role. |
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Historical Data Comparison Compare metrics and alert rates over different timeframes. |
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Privacy-by-Design Features Default settings and architectures protect user privacy. |
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Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring. |
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Employee Consent Management Tracks and enforces employee consent for monitored channels. |
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Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users. |
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Redaction Tools Ability to redact data from records before access or sharing. |
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Right to be Forgotten Supports deletion of records upon legitimate requests. |
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Data Minimization Collects and retains only necessary data. |
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Access Review Automation Monitors and reports on who accesses what data and when. |
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24/7 Support Availability Round-the-clock customer or technical support. |
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Onboarding Assistance Help with initial setup, configuration, and migration. |
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Regular Updates Continuous improvement and maintenance with regular updates. |
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Knowledge Base Access Comprehensive support portal with documentation and FAQs. |
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User Community Active online community for sharing best practices and troubleshooting. |
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Dedicated Account Manager Single point-of-contact for customer relationship. |
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Service Level Agreement (SLA) Defined response and resolution times for support inquiries. |
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Training Options Availability of live or web-based training sessions. |
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Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
More Electronic Communications Surveillance
More Compliance ...
Email Monitoring Ability to capture and analyze email correspondence for compliance risks. |
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Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance. |
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Voice Surveillance Monitors recorded voice calls for keywords or risk indicators. |
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Social Media Surveillance Captures relevant external and internal social media posts. |
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Mobile Device Coverage Ability to monitor communications across mobile devices. |
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Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms. |
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Application Support Number of distinct communication applications supported for monitoring. |
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Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data. |
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Historic Data Import Supports ingestion of historic communication data for analysis. |
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Multilingual Coverage Ability to monitor and analyze communications in multiple languages. |
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Attachment Analysis Analyzes file attachments for potential violations. |
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Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels. |
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Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content. |
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Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications. |
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Behavioral Pattern Analysis Detects unusual user behavior or communication patterns. |
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Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives. |
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Risk Scoring Assigns risk scores to incidents/messages for prioritization. |
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Custom Rule Creation Allows users to define and adapt detection rules. |
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False Positive Reduction Rate Capability of the system to decrease the rate of false positives. |
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Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC). |
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Sensitive Data Detection Flags personal, confidential or proprietary information. |
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Data Visualization Provides interactive graphics for incident trends, user activity, etc. |
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Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats. |
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Real-time Alerting Immediate flagging and notification of detected risks or violations. |
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Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts. |
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Customizable Workflow Supports tailoring of review/investigation workflow steps. |
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Case Management Integration Enables creation and tracking of cases linked to alerts. |
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Audit Trail Full logging of actions and changes for regulatory evidence. |
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Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules. |
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Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts. |
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Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases. |
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Reviewer Collaboration Tools Enables teams to work together on case investigations. |
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Notifications & Reminders Automated email or in-app reminders for outstanding cases. |
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SLA Management Monitors and enforces service-level agreement timelines for investigations. |
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Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions. |
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Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc). |
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Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs. |
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Retention Policy Management Implements and ensures compliance with data retention/archiving rules. |
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Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services. |
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Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings. |
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Redaction Tools Redacts sensitive data in exported or shared communications. |
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Supervisory Review Support Tools to monitor adherence to supervisory review processes. |
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Legal Hold Management Supports the ability to preserve data for future litigation as required. |
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Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines. |
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Retention Period Length Maximum length for which data can be retained for compliance. |
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Data Ingestion Speed Rate at which new communication records can be ingested and indexed. |
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Storage Scalability Ability to handle growing volumes of communications data. |
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Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc). |
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APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms. |
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SIEM Integration Connects to Security Information and Event Management systems. |
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Third-party Data Source Integration Connects and correlates data from external vendors or sources. |
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Custom Data Connectors Enables creation of connectors for proprietary sources. |
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Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.). |
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Search Performance Time to retrieve results for complex queries over stored communications. |
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Data De-duplication Removes duplicate messages to conserve storage and reduce noise. |
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Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics. |
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Role-based Access Control (RBAC) Allows granular assignment of permissions based on role. |
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Single Sign-On (SSO) Supports integration with enterprise SSO solutions. |
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Multi-factor Authentication (MFA) Requires multi-factor authentication for access. |
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User Interface Customization Enables customization of UI elements and workflows. |
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Search Functionality Advanced and intuitive search/filtering for investigators. |
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Bulk Actions Ability to perform actions on multiple records/cases simultaneously. |
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Localization User interface available in multiple languages. |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities. |
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Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation. |
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Configurable User Roles System allows administrators to define custom roles. |
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Audit Access Reporting Logs and reports on user activity and access history. |
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Encryption In-Transit All communications data is encrypted during transmission. |
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Encryption At-Rest Stored data is encrypted to protect against unauthorized access. |
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Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications. |
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Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity. |
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Regular Security Audits Periodic third-party or internal security assessments performed. |
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Granular Permission Controls Allows detailed definition of permissions at user or group level. |
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Anomaly Detection Automated detection of unusual access or usage patterns. |
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IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses. |
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Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure. |
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Security Patch Frequency Regular cadence for applying security patches and updates. |
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User Activity Monitoring Continuously tracks and logs all significant user actions. |
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Cloud Deployment Supports hosting in public or private cloud environments. |
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On-premises Deployment Allows fully onsite installation and management. |
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Hybrid Deployment Supports mixed cloud and on-premises configurations. |
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Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users. |
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High Availability/Failover Built-in redundancy to minimize downtime and data loss. |
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Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform. |
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Zero Downtime Upgrades Perform updates and upgrades without service interruption. |
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Deployment Time Typical time to deploy solution from contract signing. |
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System Uptime SLA Guaranteed system availability as specified in SLA. |
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Resource Monitoring Continuous monitoring of system resources and health. |
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Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks. |
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Custom Report Builder Allows creation of user-defined reports on all surveillance data. |
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Scheduled Reporting Supports automated, recurring report generation and delivery. |
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Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits. |
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Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests. |
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Export Formats Supported Number of different formats available for data export (PDF, CSV, etc). |
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Drill-down Analytics Ability to explore details of flagged incidents/cases/reports. |
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Access Logging Tracks all readings and exports of records. |
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Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc). |
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Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements. |
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Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement. |
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Reviewer Performance Reporting Reports on productivity and consistency of review teams. |
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24/7 Customer Support Availability of round-the-clock technical assistance. |
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Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution. |
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Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials. |
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Training/Onboarding Services Vendor provides training programs for customer teams. |
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Dedicated Account Manager Assignment of an account manager for ongoing relationship support. |
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Patch/Update Notification Alerts users to upcoming or recent system changes. |
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Named User Support Offers support for specific, named contacts at customer firms. |
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Bug Fix Response Time Average time to acknowledge and resolve critical bugs. |
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Customization Services Vendor can develop custom features according to client needs. |
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Community/Forum Access Customers can share best practices and ask questions in a user community. |
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Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all. |
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Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored. |
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Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees. |
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Transparent Billing Billing statements break down all charges by feature/use. |
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Trial or Pilot Options Offers low-risk pilots or trials before purchase. |
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Support Included in Base Price Customer support costs are included in base contract. |
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Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features. |
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Contract Duration Flexibility Variety of contract lengths available without penalties. |
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Discounts for Multi-year Commitments Offers reduced rates for longer agreements. |
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Predictable Annual Increases Stated percentage or cap on annual rate increases. |
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