Capital Markets Compliance

Deter Non-Compliant Activities with Global Compliance Risk Management

Financial institutions are subject to increased scrutiny and heavy fines by regulatory bodies and courts. In addition to the need to comply with external regulations, firms’ own internal policies plus the need to supervise activities across the organization, identify issues and record actions taken in a timely fashion. Firms need compliance capabilities that detect, prevent and deter non-compliant activities today, and offer the flexibility to meet future regulatory compliance needs. Actimize Brokerage Compliance does just that.

NICE Actimize provides a holistic approach to global surveillance, supervision, and compliance risk management, enabling firms to detect, prevent, and deter non-compliant activities across geographies, financial products, and channels.

Trade Surveillance

Effectively adhere to global regulatory requirements with coverage for cross-asset class, cross-market trade surveillance, monitoring activities for market manipulation, fraud, behavioral patterning, and more.

Communications Surveillance

Automatically analyze the content of phone calls, emails, chats, and other interaction channels using sophisticated cross-channel interaction analytics.

Enterprise Conflicts Management

Maintain controls and detect possible conflicts of interest at the employee and enterprise levels before they occur.

Sales Practices & Suitability

Gain a multi-dimensional, hierarchal view of the organization, ensuring investment decisions and recommendations are consistent with each client’s investment objectives, and suitability profile.

Financial institutions throughout the world and in every major regulatory jurisdiction have implemented Actimize Capital Markets Compliance solutions to meet their growing compliance challenges and:

  • Meet compliance obligations with comprehensive coverage across multiple asset classes, regions, regulations, and business functions
  • Address ever-changing needs with flexible deployment options including on premise, cloud, or a hybrid approach of both all sharing a unified front end
  • Combine trade and communications surveillance capabilities allowing firms and regulators to gain a more accurate picture of trading activity and interactions
  • Improve detection, investigations, and oversight, with proven algorithms, an end-to-end compliance workflow, and an intuitive, graphically-driven interface.
  • Adapt to changing business and regulatory needs by adjusting out-of-the-box parameters, authoring new policies, and incorporating third-party analytics and reports.
  • 100s of proven models for end-to-end surveillance, supervision, and compliance risk management
  • Comprehensive coverage across geographies, asset classes, and markets and deployed by 10 of the top 10 global investment banks
  • Backed by 100+ years of staff expertise around the world, including former regulators and compliance officers