We offer a tailored financial sector compliance solution for financial services businesses. Our solution, SOTERIA™, efficiently captures and archives all data sources for e-discovery, surveillance, trade reconstruction, case management and regulatory reporting, all on one easy-to-use platform.
SOTERIA – built for the financial sector
What can firms do with our platform?
Capture and securely archive data
From 240+ data sources (e.g. email, Bloomberg, Symphony, Webex, Zoom, Microsoft Teams, NASDAQ etc.), archived with evidential weight in our immutable vault to meet jurisdictional financial sector compliance requirements.
Run real-time surveillance and risk detection
Monitor transactions and communications and run e-discovery, behaviour analysis and alerting in real time with end-to-end workflows to review, analyse and detect market manipulation, insider trading and suspicious activity.
Trade reconstruction – 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.
Manage multiple cases – monitor data across cases with different teams and use customisable lexicon keyword, phrase-based alerting and inbuilt reporting tools.
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.
Enable compliant AI transformation
Deploy and scale AI securely with full governance of the underlying data – ensuring AI never becomes a source of regulatory risk.
Run automated trade surveillance and regulatory reporting
Use automated analytics to generate regulatory reports with ease, ensuring full compliance with authorities worldwide.
Insightful Technology
Why firms choose Insightful Technology
- Proven track record – based right at the heart of the City of London next to the Bank of England, we’ve been developing and implementing financial technology solutions for over ten years.
- End-to-end financial sector compliance, surveillance and risk mitigation solutions – from data modelling, data capture and compliant, secure archiving to automated risk detection, we cover every aspect of regulatory compliance.
- Large global footprint of existing financial clients – institutions trust us, and we also have an ongoing partnership with Bloomberg that started in 2022.
- Compliance – we help financial firms comply with regulations, including FATF, SEC, CFTC, MiCA, GDPR and regional regulations.
- Global platform – ensuring we can deliver our service and solution, designed to suit your business, in any country, region or jurisdiction for regulatory data localisation.
- Stay secure and private – with enterprise-grade encryption and storage in fully compliant, jurisdiction-specific vaults (Insightful private cloud, public and hybrid cloud).
- You can also outsource your data management to us – if your compliance teams are struggling you can choose to securely outsource your data management, modelling and surveillance to us using our Insightful360 solution.
Cost-effective, reliant software-as-a-service
We provide easy-to-set-up and implement cutting-edge financial sector 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.
Reducing compliance costs by 40%
With pressure increasing from regulators in South America to meet reporting requirements faster, Insightful Technology was appointed to… Go to use case
Insightful Technology in action
See how our solutions help businesses around the world.
The company was struggling with the recording of conversations for compliance and reporting purposes, with the team being...
Issues at an insurance firm were occurring due to manual errors around its claims processing. To increase accuracy,...
A law firm was struggling to create reports for clients and partners due to the data being stored...
How we support financial sector compliance
We empower businesses 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, our solution will safeguard your operations, help you mitigate risk and keep you ahead of regulatory changes.
We support…
- Banks, brokerages, asset and wealth management firms– ensure transaction transparency, mitigate fraud risks and adhere to AML/KYC requirements.
- Trading firms – prevent market manipulation, maintain compliance with SEC/CFTC rules and safeguard trade data.
- Insurance firms – monitor transactions, policyholder communications, and claims data in real time to detect fraudulent activity, insider threats, and compliance violations.
- Crypto companies – securely store digital assets while meeting GDPR, MiCA and New York State Department of Financial Services BitLicense compliance. More about our crypto solution.
- Regulators and compliance teams – automate risk monitoring, trade surveillance and auditing.
- Other businesses operating in the financial sector.
Is your financial firm’s compliance set-up reliable, efficient and fit for purpose?
To find out we can help your financial firm stay compliant cost-effectively, request more information from us.
