Soteria™ Holistic Surveillance
Major developments in the global regulatory environment, such as EMIR, MiFID II, MAR, Dodd-Frank and SM&CR, are increasing the onus on market participants to archive, monitor, and report suspicious behaviour. From front-line supervisors to compliance officers, financial sector professionals must get to grips with increasingly complex and data-intensive processes across both trade and communications data sets.
The powerful combination of SOTERIA with a choice of partner integrated trade surveillance platforms enables firms to scientifically link communication and trading exceptions to identify suspicious activity and report to regulators. The holistic surveillance service also drives efficiencies for firms by replacing manual data management processes with the automated framing of workflows between trade and communications systems.
The powerful combination of SOTERIA with a choice of partner integrated trade surveillance platforms enabling firms to scientifically link communication and trading exceptions
Capture over 120 feeds of data
Flexible retention periods
Strict user permission controls
PCI DSS, Dodd-Frank, GDPR, KYC, MiFID II, HIPAA compliant and more
Automated SAR Workflow
Enrich call recordings with Voice AI, improve customer experience and enable proactive compliance.
Automatic data transcriptions
Line-by-line sentiment analysis
Notifications of negative calls and keyword alerts customisable by you
Advanced API for integration of call data in BI tools and apps
Call and AI data dashboards and reports
Analyse combinations of trade and communications data through dashboards, filtering and searching.
Pattern Matching & Alerting
Pattern-base detection algorithms to identify instances of market manipulation and insider dealing.
Lexicon MGMT & Alerting
User customisable lexicon key word and phrase based alerting in real-time.
Visualisation & Reporting
Intuitive visualization of both trade and communication data in the same timeline with template and tailored output reports to suit your needs.
Start from either communications or trade data and manage investigation workflows.
In real-time, Soteria™ offers you a single-pane view of any communication, with fully-customisable role-based dashboards, and a permissions hierarchy to manage user access. Trade reconstructions can be created instantaneously, and collated information around a topic or event can be viewed remotely in a containerised manner.
At Insightful Technology, we don't believe in just selling solutions. In this increasingly complex and comprehensive financial regulatory landscape, there are endless interpretations, approaches and options. Working out your path can be challenging.
As a Insightful Technology customer, you can call on our experts to help guide and advise you on your regulatory journey. We work closely with you to share our experiences and complement your in-house teams with our regulatory and technical expertise.