We enable businesses in the financial sector to maintain global regulatory compliance, mitigate risk and drive efficiencies.
We support businesses and institutions operating in the capital markets, financial services and wealth management sectors. Our solutions, like SOTERIA™, efficiently capture and archive all data sources in one place for e-discovery, surveillance, trade reconstruction, case management and regulatory reporting, all in one easy-to-use tool.
Financial services
Keeping up with compliance
The financial sector isn’t just strictly regulated, these regulations are changing all the time. One needs to be able to react to changes with agility. In addition to this, new methods of communications are coming on-stream frequently, and financial organisations need to capture these new sources for regulatory compliance, surveillance and analysis, while driving efficiencies and lowering costs.
In addition to stringent compliance frameworks, the financial sector needs to run comprehensive data monitoring and governance around anti-money laundering (AML), know your customer (KYC), data privacy, and financial reporting regulations. But at what cost?
Introducing Insightful Technology
Cost-effective software-as-a-service
This is where Insightful Technology comes in. We provide easy-to-set-up and implement cutting-edge compliance, surveillance and data security solutions that can help you, as a bank, financial institution or broker, navigate complex regulatory landscapes seamlessly, securely and cost-effectively.
Our pricing structure is clear and easy to follow for effortless budgeting and all our solutions come with a level of support as standard.
An overview
How we support the financial sector
We empower banks and institutions in the financial sector with advanced technology that captures, monitors and archives data across over 240 sources (e.g. Microsoft Teams), ensuring compliance and risk management at every level. Whatever the size of your financial services business or institution, our solutions will safeguard your operations, help you mitigate risk and keep you ahead of regulatory changes.
“As banks measure their cost of compliance and decide how to manage that moving forward, it’s vital for them to understand the attributable costs for each silo they work with so they can plan for the future.”
Rob Houghton, founder and CTO, Insightful Technology
Capture and securely archive data
From 240+ data sources (e.g. email, Webex, Zoom, Microsoft Teams), archived with evidential weight in our immutable vault to meet jurisdictional compliance requirements.
Run real-time surveillance and risk detection
Monitor transactions and communications and run behaviour analysis in real time to detect market manipulation, insider trading and suspicious activity.
Automate AML, KYC compliance and more
Ensure seamless adherence to regulations – including those of FCA/MIFID II, FINRA, CFTC, SEC, GDPR, CCPA, Dodd-Frank, SOX, MAR and SM&CR – through automated data verification, transaction monitoring and secure reporting.
Stay secure and private
With enterprise-grade encryption and storage in fully compliant, jurisdiction-specific vaults (Insightful private cloud, public and hybrid cloud).
Outsource your data management to us
If you’re compliance teams are struggling you can choose to securely outsource your data management, modelling and surveillance to us using our Insightful360 solution.
Run AI-powered trade surveillance and regulatory reporting
Use AI-driven analytics to generate regulatory reports with ease, ensuring full compliance with authorities worldwide.
We support:
Banks, brokerages, asset & wealth management firms
Ensure transaction transparency, mitigate fraud risks and adhere to AML/KYC requirements.
Regulators and compliance teams
Automate risk monitoring, trade surveillance and auditing across the financial sector.
Trading firms
Prevent market manipulation, maintain compliance with SEC/CFTC rules and safeguard trade data
Case study
Reducing compliance costs by 40%
With pressure increasing from regulators in South America to meet reporting requirements faster, Insightful Technology was appointed to…
Why financial organisations choose Insightful Technology
- Global compliance leadership – we help financial firms comply with regulations, including FATF, SEC, CFTC, MiCA, GDPR and regional regulations.
- Monitor trades – eDiscovery provides an end-to-end workflow to preserve, collect, analyse, review and export content.
- Reconstruct trades – build and manage case reconstruction data in a virtual case file that regulators and accredited parties can access using a time-lapsed login and password.
- End-to-end compliance and risk mitigation solutions – from data capture and compliant archiving to AI-powered risk detection, we cover every aspect of regulatory compliance.
- Customise surveillance – holistically configure workflows and settings based on monitoring and triggered alerts in communications.
- Manage multiple cases – surveil data, across cases with different teams, and use customisable lexicon keyword and phrase-based alerting.
- Analyse and report – stay ahead of customer or employee issues and grievances using the SOTERIA platform’s inbuilt reporting tools.
- Seamless integration – record over 240 data sourcesand integrate compliance tools directly into your existing infrastructure.
Is your financial firm prepared for fast-evolving global regulations?
To find out we can help you stay compliant while driving your business growth, email us at [email protected]
