eComms Surveillance Software

See potential high-risk activities and behaviors from a single location.

Employees' increasing use of electronic platforms like Microsoft Teams, Zoom, WhatsApp, and WeChat can lead to increased or undetected conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how firms are managing these risks. Our eComms Surveillance Solution can help your firm detect and mitigate these risks effectively and efficiently to protect your business.

ACA's acquisition of Catelas creates the industry's first 360 surveillance offering

Learn how the integration of Catelas' eComms surveillance technology further enhances the holistic surveillance capabilities of ACA’s RegTech platform.
Data ingested by eComms solution

Integrates eComms, trade, 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.

    ACA Catelas eComms Surveillance Solution

    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.

    ACA Catelas eComms Surveillance Solution Functions

    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.

    Increase the effectiveness of your eComms surveillance operations while reducing the cost of compliance.

    Our solution provides a single view of potential behavior risks across your firm. Key features and benefits include:

    Provides a single view of risks

    Including:

    • Insider trading / MNPI
    • Bribery
    • Fraud
    • Conflicts
    • Insider risk
    • Customer complaints
    • Market manipulation across asset classes
    Maps employees’ behaviors, activities, and relationships to uncover high-risk behavior

    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.

    100+ surveillance policies for quick and easy deployment

    Our out-of-the-box policy library includes more than 100 surveillance policies and models to help you hit the ground running. Use the policies as-is, customize them, or create your own.

    Reduced false positives for more accurate, meaningful results

    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.

    Sophisticated analytics for fast investigations and defensibility

    Quickly escalate and investigate items of interest (IOI). All activities and messages are recorded in the comprehensive audit trail to enable easy reporting for internal audits, regulators, clients, and investors.

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    Our eComms surveillance solution by the numbers

    Surveillance policies and models included

    100+

    False positives reduced by

    95%+

    Time to clear review queue reduced by

    80%

    RegTech news and insights

    Michael Borts joins ACA Group as the new Chief Technology Officer

    Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

    Q4 2021 Regulatory Reporting Deadlines

    Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.

    European Regulator Fines Major Trade Repository for EMIR Breaches

    The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.

    Upcoming events

    Common Practices for GIPS® Compliance

    ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"

    Webcast

    Compliance Officer: The Roles and Responsibilities - 21 October 2021

    The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

    Online Training