Wednesday 4th September at 2:00pm BST

"Post-MiFID II Communications Surveillance, Monitoring & Risk Mitigation - A Holistic, Cost-Effective Solution"

Recent regulatory changes mean that many regulated firms, who have previously had minimal requirements when it comes to communications monitoring, can no longer limit themselves to simply capturing and storing voice recordings, emails and other e-communications in order to remain compliant. Firms must now also have the ability to demonstrate compliance and reconstruct transactions almost instantaneously when requested by the regulators.

With different forms of communications data often captured and stored in separate data silos, with no way to be effectively searched, cross-referenced or analysed, a "Record, Store and Forget" approach is untenable, exposing firms to significant risk. Even smaller firms, and those who conduct "relatively few transactions", often mistakenly believe that collating the relevant communications data in the required timeframe would be a simple manual task.

A solution is required that enables firms to holistically monitor, capture, normalise, store and instantly recall all forms of multimedia communications within a single platform. A solution that can guarantee that captured data is not tampered with and is stored according to local jurisdictions' requirements; and which allows firms to respond quickly and easily to regulator demands, as well as proactively identifying potential threats. And if this solution can also help firms lower their costs by providing a more streamlined and efficient platform than their existing legacy systems, so much the better...

Register below to see how Soteria™ helps firms to:

  • Capture, normalise, store, analyse and instantly recall ALL forms of multimedia communications and market data in real-time, on a single platform
  • Receive real-time (T+0) alerts when keywords are used in any form of voice or e-communications
  • Use keyword, lexicon, fuzzy and proximity searches across all voice and e-comms to identify and retrieve required communications
  • Meet regulators' trade reconstruction deadlines with ease, with no geographical limitations and no additional resource
  • Give regulators secure, time-coded remote access to view and appraise case reconstructions
  • Integrate with existing trade monitoring and market abuse tools to reduce false positives 
  • Implement a proactive, preventative surveillance strategy, substituting "Lines of Defence" with "Lines of Attack" through the effective use of data analytics and Artificial Intelligence
  • Lower costs by removing ineffective and inefficient data, vendor and technology silos and expensive middleware
  • Ensure all data and data trails are tamper-proof, providing data integrity and evidential weight

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