eComms Surveillance Software

Manage eComms surveillance risk with our ComplianceAlpha® RegTech platform

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

Employees' increasing use of electronic platforms like Microsoft Teams, Zoom, SMS, 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.

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:

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.

70+ surveillance policies for quick and easy deployment

Our out-of-the-box policy library includes more than 70 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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Data ingested by eComms solution

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.

    ACA eComms Surveillance screen shot

    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.

    eComms components

    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.

    Why choose ACA's eComms surveillance RegTech solution?

    Surveillance policies and models included

    70+

    False positives reduced by

    95%+

    Time to clear review queue reduced by

    80%
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    Compliance Officer: The Roles and Responsibilities - 18 May 2022

    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.

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    We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

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    Annual Compliance Training - 7 June 2022

    The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

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