Communications Oversight

The Complete Communications Compliance Platform for Record Keeping, Analytics, Monitoring and Surveillance

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Comms Capture & Record Keeping

 

Record keeping is the foundation of all compliance requirements. SteelEye's communications compliance platform enables you to capture your communications data from a wealth of eComms, vComms and traditional channels and store those records compliantly in line with regulatory obligations under FINRA, SEC, IIROC, Dodd-Frank, MAR and MiFID II.

Learn more about our Comms Capture

SteelEye Communications Capture and Record Keeping

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Global Communications Monitoring

The number of communications channels that exist today have made it increasingly difficult for financial firms to identify market abuse and conduct risks. To comply with regulation, firms need to not only capture communications from the wide range of platforms used by regulated employees but also monitor this data to demonstrate that policies are being adhered to. With SteelEye's Communications Compliance Platform you can monitor, manage, and control all your communications data globally on a single platform.

Learn more about our Comms Surveillance Lite

Advanced Surveillance for Enhanced Risk Detection

As financial firms scale, so do their communications surveillance requirements. The larger trading teams become, the more sophisticated oversight technology is required to sift through the vast volumes of data to identify threats and reduce false positives. The SteelEye Communications Compliance Platform provides compliance and surveillance teams with advanced surveillance algorithms that identify early warning signs of misconduct whilst reducing false positives so that bad actors can be stopped before any financial crime or misconduct has taken place.

Learn more about our Comms Surveillance Pro

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SteelEye's Communications Compliance Suite

Comms
Capture

For smaller firms who simply require a communications archiving and eDiscovery solution

  • Record keeping Record keeping
  • Case Manager Case Manager
  • Insights Insights

Comms
Surveillance Lite

For firms that want to increase control, oversight of and access to their comms data through a flexible and cost-effective platform

  • Record keeping Record keeping
  • Case Manager Case Manager
  • Insights Insights
  • Access to 3 SteelEye surveillance behaviours Access to 3 SteelEye surveillance behaviours
    Conflict and Complaints, Inappropriate Behaviour, Market Abuse
    Conflict and Complaints, Inappropriate Behaviour, Market Abuse
  • Ability to build customised alerting rules Ability to build customised alerting rules
    For example, attribute-based alerting, looking at emails sent by a specific person or team after a specific time.
    For example, attribute-based alerting, looking at emails sent by a specific person or team after a specific time.
  • Ability to build own lexicon Ability to build own lexicon

Comms
Surveillance Pro

For larger firms that require a sophisticated solution for identifying risks so that bad actors can be stopped before any financial crime or misconduct has taken place

  • Record keeping Record keeping
  • Case manager Case manager
  • Insights Insights
  • Access to all SteelEye surveillance behaviours Access to all SteelEye surveillance behaviours
  • Ability to build customised alerting rules Ability to build customised alerting rules
    For example, attribute-based alerting, looking at emails sent by a specific person or team after a specific time.
    For example, attribute-based alerting, looking at emails sent by a specific person or team after a specific time.
  • Ability to build own lexicon Ability to build own lexicon
  • Machine Learning – Zoning Machine Learning – Zoning
    Ability to make rules based on where a piece of communication is located. For example, teams can exclude information in the disclaimer or in the ‘rest of thread’ from triggering alerts, so that you only monitor for the authored content.
    Ability to make rules based on where a piece of communication is located. For example, teams can exclude information in the disclaimer or in the ‘rest of thread’ from triggering alerts, so that you only monitor for the authored content.
  • Machine Learning – Classifier Machine Learning – Classifier
    This categorises eComms into various categories including; research notes, pricing runs, market colour, newsletters and more. Any policy then affords the ability to exclude classes of categories in order to reduce false positives.
    This categorises eComms into various categories including; research notes, pricing runs, market colour, newsletters and more. Any policy then affords the ability to exclude classes of categories in order to reduce false positives.

We simplify communications capture, archiving, eDiscovery and surveillance no matter your business type or role

Compliance Officers, Managers & Analysts

With all your communications in one place you get a holistic view of and instant access to all your data - making it easy to respond to regulatory requests, carry out investigations, and control what is happening across your organisation.

Investment advisors & private equity

By capture all your communications on SteelEye's communications compliance platform, you can meet your archiving obligations in an easy way and establish a full audit trail of who is communicating with who, and when.

Legal staff

By bringing everything together under a single lens, eDiscovery becomes effortless - reducing both cost and time. SteelEye's communications compliance platform makes it easy for you to produce records for audits, investigations or litigation purposes.

Technologists & Information Officers

In SteelEye, all your data is ingested and stored in a Write Once, Read Many format, satisfying global requirements record keeping and achieving. Plus, proprietary data audit tracks every interaction with the platform giving you full control over who sees and does what and when.

Heads of Surveillance & Analysts

With SteelEye's communications compliance platform you can control, oversee and analyse all your comms data in one place - with straight forward investigations and escalations. Our context reading technology reduces false positives and makes it easier for you to identify the real threats.

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Book a demo

We’ll give you a tour of our communications compliance platform, so you can see how data insight drives results.

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