Financial Technology Year

Actimize Trade Surveillance
By: NICE
https://www.niceactimize.com/products/trade-surveillance/

Delivers a comprehensive trade surveillance solution that utilizes AI and machine learning to monitor and analyze transactions, detect suspicious behaviors, and manage risk effectively.

Trade Reporting and Surveillance
By: FINRA
https://www.finra.org/industry/trade-reporting

This service supports compliance with trade reporting requirements, conducts surveillance to detect insider trading and market manipulation, and provides analytics tools for firms to enhance their reporting capabilities.

FIS Anti-Financial Crime
By: FIS Global
https://www.fisglobal.com/en/solutions/anti-financial-crime

An integrated solution that combines surveillance for trading and communications with customer transaction monitoring to detect suspicious activities involving potential financial crime.

NICE Actimize Communications Surveillance
By: NICE Actimize
https://www.niceactimize.com/comms-surveillance/

Offers comprehensive monitoring of electronic communications across email, chat, voice, and social media. Leverages AI and advanced analytics to detect market abuse, insider trading, and regulatory violations. Integrates with case management tools for efficient investigations.

ACA Communication Surveillance
By: ACA Group
https://www.acaglobal.com/our-solutions/technology/communication-surveillance

Monitors email, instant messaging, and voice communications. Uses AI-driven models to flag misconduct risks and integrates with workflows for efficient case management, helping firms address regulations such as FINRA, SEC, and FCA.

NICE NTR-X
By: NICE Actimize
https://www.nice.com/products/financial-markets-compliance/communications-surveillance/

Holistic supervision and monitoring platform for financial communications. Captures, archives, and monitors all communications channels with AI-based analytics to identify potential compliance violations. Features include voice and electronic communications surveillance, trade reconstruction, and behavioral analytics.

Theta Lake Compliance Suite
By: Theta Lake
https://thetalake.com/platform/

Purpose-built compliance platform for modern collaboration tools including Zoom, Microsoft Teams, Webex, and Slack. Provides risk detection for video, voice, chat, and document content. Features include AI-based policy detection, automated risk scoring, and integrated archiving capabilities.

Proofpoint Supervision
By: Proofpoint
https://www.proofpoint.com/us/products/information-protection/supervision

Communication monitoring solution that captures, reviews, and archives content for regulatory compliance. Features include customizable lexicons, automated workflows, advanced search functionality, and integrated case management for efficient supervision of communications.

Relativity Trace
By: Relativity
https://www.relativity.com/data-solutions/communication-surveillance/

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.

Verint Financial Compliance
By: Verint
https://www.verint.com/engagement-data-management/compliance-recording/financial-compliance/

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.

Bloomberg Vault
By: Bloomberg
https://www.bloomberg.com/professional/product/vault/

Enterprise compliance solution for financial firms including fund managers. Features include comprehensive archiving, monitoring, and surveillance of communications across email, instant messaging, social media, and voice. Includes advanced search capabilities, policy-based retention, and legal hold management.

Shield Platform
By: Shield
https://www.shieldfc.com/platform/

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.