Communications Surveillance

Comprehensive Communications Oversight and Risk Detection for Financial Services 

SURVEILLANCE. SIMPLIFIED.

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Recent regulations like MiFID II and SM&CR are changing how people working in financial services are regulated, putting a new level of responsibility on senior managers and making them personally accountable for the conduct and competence of the firm.

As a result, firms are moving fast to ensure that they are able to identify and mitigate potential market abuse and conduct risks quickly and efficiently.

To achieve this, firms need to ensure that their surveillance capabilities are able to holistically assess a broad set up information, from voice calls, SMS and WhatsApp messages, which has traditionally been difficult to do on a consolidated basis.

With SteelEye, all your data is unified and becomes an early warning system, ensuring unwanted behaviours get identified and stopped quickly. 

Turn your data into an early warning signal for unwanted behaviours

SteelEye's Communications Surveillance brings together all your communications from a range of sources on an integrated platform to enable you to strengthen your risk detection, improve your oversight and continuously demonstrate compliance. Combined with SteelEye's Trade Surveillance, you gain comprehensive cross platform insight. 

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SteelEye Communications Surveillance Overview

 

 

Features

  • Intelligent reporting tools, advanced algorithms and machine learning technology analyses your data in real-time, ensuring risks get identified and stopped quickly.

  • SteelEye’s search functionality empowers you to instantly identify and retrieve any data set. This speeds up your investigation times and allows you to improve your operational efficiency whilst reducing your risk.

  • Using historic analysis, SteelEye identifies the impact of new rules before they are rolled out, reducing false positives and enabling you to fine-tune your surveillance procedures.

  • Through advanced data relationships and behavioural analysis, SteelEye offers intelligent insights into your underlying data – helping you optimise business performance.

  • SteelEye also provides transcription of call recordings as well as translations into 54 languages. This can be used for advanced call analytics, enhanced lexicon searches and automated surveillance alerts based on specific words or phrases used within phone conversations.

Detect unwanted behaviours quickly

Effortlessly create and customise searches across your entire data set to speed up your investigations. Use customised or pre-defined alerts to identify and resolve risks quickly.

Reduce false positives

Reduce false positives and fine-tune your surveillance procedures with intelligent insight, real-time back testing, machine learning and granular parameter settings.

Get real-time oversight and insight

Gain real-time supervision of all communications across all channels, markets and products. By consolidating your data, you gain unparalleled insight into your performance.

eDiscovery

SteelEye’s eDiscovery and machine learning technology enables you to take control of your financial data, meet regulatory demands, and avoid costly sanctions.

We collect, normalise, validate, and index all your structured and unstructured data. The SteelEye platform thereafter enables you to effortlessly identify and retrieve any data set, automatically detect and analyse anomalies, and create and easily export cases for further investigation. This makes it easy for you to quickly respond to internal, due diligence, litigation or regulatory requests.

We capture various types of communications, including email, voice calls, SMS, instant message. The types of communications we ingest and analyse include but are not limited to Bloomberg Chat, Slack, Office 365, Verint, Whatsapp, Masergy and Gamma.

INTELLIGENT ALERTS WITH ONGOING MACHINE LEARNING

SteelEye enables you to set up intelligent alerts and prioritise the ones of most relevance. Through your interactions with your alerts (relevant / not relevant), the platform actively learns the kind of behaviours and activities you are looking for, reducing the number of false positives you receive and reducing your risk.

FLEXIBILITY AND SCALABILITY

SteelEye is fully cloud-based which means that your data is infinitely scalable. At SteelEye, we believe that your data is YOUR data. This is why we make it easy for you to find, investigate and retrieve any data set, and easily build cases and export data without any limitations or cost.

ALL YOUR DATA IN ONE PLACE

Whilst SteelEye offers RegTech solutions, we are a data platform at heart and can capture, normalise and index a vast array of information, making it instantly available. This gives you the power to overlay, compare and analyse any data together, allowing you to uncover new insights that can be used to drive enhanced business performance.

FUTURE PROOFING YOUR REGULATORY OPERATIONS

With SteelEye, you establish an up-to-date, real-time, and unified source of all of your trading, communications and regulatory data. This provides an enterprise-wide view of all data via a central platform. As a result, overlapping regulatory projects can be identified and the data relevant in one jurisdiction can be set aside for use in another.

HOW CLIENTS ARE USING STEELEYE'S HOLISTIC SURVEILLANCE


  • Financial firms monitor their trading and communications to detect any signs of market or conduct abuse.

  • Buy-side firms protect against insider threats and build out intelligence around performance.

  • Compliance officers ensure oversight and demonstrate compliance using configurable reports and workflows.

  • Senior managers ensure a consistent approach surveillance across the business, protecting against regulatory scrutiny whilst improving efficiencies and saving costs.

  • Brokers and hedge funds receive automatic alerts for any trade or communication behaviour that regulators could construe as market abuse.

  • Heads of desks are managing their risk by monitoring watch and restricted lists.

Other products

Core package

Trade surveillance

Communications surveillance

Regulatory reporting

Best execution


SURVEILLANCE. SIMPLIFIED.
 

Ensure you remain compliant, even with traders working remotely, with SteelEye’s comprehensive Communications Surveillance.

  
 

TRY FOR FREE FOR 90 DAYS