eComms Surveillance Software

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

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

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.

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
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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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