Electronic Communications Surveillance Software

Manage your employees use of electronic platforms to communicate with colleagues and clients with ComplianceAlpha^®

Our Solutions
ComplianceAlpha RegTech Solutions
Electronic Communications Surveillance Software

Employees' increasing use of electronic platforms like Teams, Zoom, SMS, WhatsApp, and WeChat can lead to increased conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how risk and compliance management teams are mitigating these risks.

Request a Demo

Identify potential high-risk activities and behaviors with our eComms Surveillance RegTech Solution

Key features

Increase the effectiveness of your eComms surveillance operations while reducing the cost of compliance. Our eComms Surveillance RegTech Solution provides a single view of potential behavior risks across your firm. Key features and benefits include:

Policy library

Satisfies and demonstrates a duty of supervision with our ever-growing policy library and rigorous documentation validated against multiple regulatory bodies
Use the policies as-is, customize, create your own, or leverage ACA’s managed services team for policy maintenance
Proactive approach to surveillance aligned with the principles by which you manage your firm
Rapid and robust policy testing and approval process against live production data
Policy categories include:
- Conduct unbecoming
- Controls
- Dissemination
- Fraud
- Gifts and entertainment
- Hearsay
- Insider threat
- Sales malpractice
- Wall crossing

Risk surveillance

All content discovery and false positive removal tools are exposed to the end user and can be individually tested (no black boxes)
Clustering tools for handling of multiple related items of interest (IOIs)
Dynamic inputs to policy logic for removal of contextual content
Extensive function set that considers sentiment, conduct, relationships, keywords, sentences, attachments, and message metadata

Natural Language Processing

Sentence-based vector analysis, sentiment analysis, and document-based clustering for content discovery, language identification, and non-responsive content removal
Language-specific analyzers allow for robust native language policies

Security and integrations

Built on enterprise-level infrastructure and secure platform
Single sign-on (SSO) and two-factor authentication, APIs, and other enterprise-level integrations are available
Active integration with ComplianceAlpha Market Abuse and Control Room solutions
Optional integration with ACA attested 17a3-4 compliant books and records storage of communication records using ComplianceAlpha eComms Archive
Alert generation and network analysis tied to a metadata layer that allows for customized alerting, permissioning, relationship measurement, and content controls

Reporting analytics and audit trail

Customized dashboards and reports with ComplianceAlpha Analytics
Record all human and system activity in the platform’s comprehensive audit trail
Robust reporting and presentation of alert closure and escalation to defend program repeatability and suitability

Relationship forensics

Calculate relationship strengths between all surveilled personnel and other parties based on all communications to provide a thorough network analysis
Maps employees’ behaviors, activities, and relationships to uncover potential high-risk behavior
Network analytics and eDiscovery toolset
Isolate conversations of interest to uncover how employees connect, form groups, and conduct business using patented behavioral algorithms to define the context
Risk measures are exposed throughout the platform as contributors to policy and components of review process

Connectors

Extensive collection of connectors allows capture and surveillance of employee communications across a broad array of enterprise platforms, including:
- Email
- Financial platforms
- Collaboration solutions
- Voice mobile
- Social media

Managed Services

Assistance with the review and escalation of items of interest
Ongoing policy maintenance for a defined number of policies
Setup and administration of reports

Integrates eComms, trade, mobile, and voice data for holistic oversight of behavioral risk

Our solution is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization.

Uncovers how employees connect, form groups, and conduct business

Our patented behavioral algorithms define context and isolate conversations of interest to uncover how your employees connect, form groups, and conduct business. Machine learning technology combined with natural language processing (NLP) then maps your employees’ behaviors, activities, and relationships — both internally and externally — to help you zoom in on potential conduct risks.

Reduces false positives for more precise, meaningful alerts

Machine learning technology dramatically reduces false positives by constantly teaching itself using your firm’s own data – automatically and unsupervised. This means your firm can manage the technology and analyze the results without the help of data scientists or a third-party vendor.