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, MAR, and MiFID II.

Learn more about our Comms Capture

SteelEye Communications Capture and Record Keeping

Learn more about SteelEye's Enterprise Communications 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 regulations, 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

Learn more about SteelEye's Communications Monitoring & Surveillance

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 while reducing false positives so that bad actors and rogue traders can be stopped before any market manipulation 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 communications data through a flexible and cost-effective platform.

  • Record keeping Record keeping
  • Case Manager Case Manager
  • Insights Insights
  • Access to 3 SteelEye surveillance behaviors Access to 3 SteelEye surveillance behaviors
    Conflict and Complaints, Inappropriate Behavior, Market Abuse
    Conflict and Complaints, Inappropriate Behavior, Market Abuse
  • Ability to build customized alerting rules Ability to build customized 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 your own lexicon Ability to build your own lexicon

Comms
Surveillance Pro

For larger firms that require a sophisticated solution for identifying risks so that bad actors and rogue traders can be stopped before market abuse has taken place.

  • Record keeping Record keeping
  • Case manager Case manager
  • Insights Insights
  • Access to all SteelEye surveillance behaviors Access to all SteelEye surveillance behaviors
  • Ability to build customized alerting rules Ability to build customized 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 your own lexicon Ability to build your 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 categorizes eComms into various categories including; research notes, pricing runs, market color, newsletters, and more. Any policy then affords the ability to exclude classes of categories in order to reduce false positives.
    This categorizes eComms into various categories including; research notes, pricing runs, market color, 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 regardless of 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 organization.

Investment advisors & private equity

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

Legal staff & Auditors

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

With SteelEye, all your data is integrated and stored in a Write Once, Read Many format, satisfying global requirements for record keeping and archiving. Additionally, our 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 analyze all your comms data in one place - with straightforward 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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SteelEye Best RegTech Solution 2022
AWARD WINNING SOLUTION

SteelEye was named the Best RegTech Solution by With Intelligence in the 2022 HFM US Technology Awards.

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