Webinar Series 2016

1. Increasing the Effectiveness of Your Surveillance Program

Best practices and technologies to add voice and electronic communications to your compliance arsenal

Approximately 70% of surveyed organizations (Chartis Research, 2016) cite improving Trade Surveillance as a medium-to-high, near-term priority. Driven by Market Abuse Regulation (MAR) and compliance requirements of Markets in Financial Instruments Directive 2 (MiFID II), the need to implement and enhance communication surveillance systems as part of a broader Trade Surveillance Program creates a universal challenge for financial institutions. Meeting that challenge efficiently – increasing the effectiveness of analyzing voice and electronic communications without breaking the bank – is now mission-essential.

Listen to Danielle Tierney of Aite Group and Cromwell Fraser of NICE as they discuss the best practices and technologies that you can rely on today to add voice and electronic communications into your compliance arsenal.

2. Using Voice Analytics to find Compliance Risks

Add audio surveillance to enhance your existing compliance program

Find out how some of the world’s leading organizations and banks are using NICE’s award winning voice analytics technology to understand what people are saying within their organization. Using this technology, banks can automatically understand what people are talking about, the intent behind a trader’s activity as well as detecting high risk conversations across multiple locations, languages, jargon, and accents at any time. More importantly a bank can know exactly where potential risk lies and can take immediate action.

Listen to Jon Simone and Cromwell Fraser from NICE on how your bank can leverage voice analytics to enhance your existing compliance program. Additionally, learn how important new regulation that banks will need to decide if voice analytics technology can help them address, and watch use cases for voice analytics as part of a robust compliance program and how banks are using this technology today to enhance their existing surveillance program.

3. Skype for Business - Ready for Compliance?

Find out how Skype for Business can improve your back-office communications

Listen to our Compliance Expert Jon Simone who gave an update on the latest regulations with regards to the recording of back-office voice communications. Aamer Kaleem from Microsoft showed the advantages of using Skype for Business in your back-office and Arno Sybrandy talked about how you can record front- AND back-office communications, including Skype for Business, with ONE single integrated system.


4. Protecting against Market Abuse and Misconduct Risk

Prevent investigations, legal costs and settlements

Watch how Danielle Tierney from the Aite Group discusses how the latest regulations are perceived by the industry, and how banks adopt the latest methods used in Surveillance. Cromwell Fraser from NICE explains how a Holistic Surveillance approach to compliance can provide the broadest range of regulatory, reputational and operational risk coverage.

5. Detecting Compliance Risks by Analyzing Trader Behavior

Become more sophisticated and predictive against rogue traders

Learn from Dan Fernandez of NICE how the ongoing policy changes and new regulatory requirements are influencing Compliance Management. Next, Randy LeBlanc from RapidMiner shows how Behavioral Analytics is providing new ways of working with data, and incorporating insight into the business.

Finally, Dan shows how you are now able to work with the full dataset in analyzing potential financial crime, allowing you to get the complete picture on potentially noteworthy incidents or trends that are more reliable than traditional approaches relying on samples.