Conduct
Surveillance

Unified communication surveillance for regulatory compliance

Conduct Surveillance processes all your communications using the industry’s most sophisticated language models to surface all relevant issues for your compliance analysts.

Used by over 50% of the largest global banks our unified IM, email, social and voice surveillance connects to all your sources of employees communications with out of the box policies for regulatory and corporate compliance including market and employee conduct, complaints, recommendations, mis-selling and suitability.

Improve risk coverage while lowering total cost of ownership

Precision insights enhance surveillance quality. Conduct Surveillance is proven to deliver up to 5x increase in risks identified, a 3x increase in escalations, and a 75-95% reduction in false positives based on the average results of our customers.

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3x

More escalations found

75-95%

Reduction in false positives requiring review

Unified audio and text surveillance

Detecting and investigating movement of conversations across channels of communication is time-consuming and expensive. By unifying the detection, review user interface, behavioral models, and policies across all communication data sources we break down those surveillance silos, lowering costs.

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Embrace NLP models with ease

Cognition Studio enables subject matter experts and data scientists alike to create and adjust machine learning models that find specific language of interest while providing a defensible model governance for internal model approval and regulatory defensibility.

Lower risk with expanded voice coverage up to 100% of the regulated population

Our blazingly fast voice processing and high precision models ensure lower infrastructure and compliance analyst review costs. Learn about our game-changing, low-cost, high-volume transcription.

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Only 5%

of market participants are monitored for voice despite it being the highest risk channel

features

REGULATORY COVERAGE VIA AUTOMATED ALERTS

Regulatory coverage

Coverage for regulatory compliance across market conduct, employee conduct, and information governance as defined by regulators such as the SEC, Finra, EU ESMA, UK Financial Conduct Authority, Monetary Authority of Singapore.

Explainable and defensible alerting

Alerts generated in Conduct Surveillance are defensible and explainable. Our lexicons and NLP include governance reports providing the clarity you need for internal standards and regulatory audit.

Languages

Core platform support for over 50 languages with out of the box policy support for English, Spanish, and Japanese.

Communication channels

We integrate easily with all communication channels providing over 90 connectors for voice, email, chat, and social.

INDUSTRY-LEADING EFFECTIVENESS AND EFFICIENCY

False positive reduction techniques

Filters and special handling for duplicate communications, spam, newsletters, disclaimers, signatures, and salutations.

Built on real communications

Our NLP is designed for human communications including jargon and emoticons.

Machine Education

Our patented technologies codify decades of lessons learned in data science and machine learning in order to create high-quality models quickly.

the world leading investigation platform

Live Search

Regardless of whether a message results in an alert being created, all messages are captured, enriched, analysed and stored for querying by analysts for up to 2 years.

Full text natural language searching

Our unique NLP capabilities provide the investigator with powerful search techniques to surface communications based on metadata, key terms, fuzzy matches, proximity, and behavioral indicators.

Person-centric views

Connecting issues, topics, individuals, and social groups is vital to understand the extent of a case. We provide the tools to quickly explore complex relationships, surfacing key behaviors to inform your actions.

Pattern analysis

Examine behavioral intent changes over time that assist not only in finding anomalous activities but also providing insight into the conduct of departments and social clusters.

everything you need to manage your team

Entitlements

Fine grained functional and data permissions map users to the capabilities, communications, and alerts. Integrate with your enterprise directory service and single sign-on.

Operational Reporting

We give you the insights to understanding alert volumes, distributions, team workload, and productivity which are key to being able to effectively manage your teams of reviewers.

Workflows and Assignments

Our out of the box workflows streamline your review and can be configured for your specific procedures such as Quality Control and escalation paths.

enterprise grade and battle-tested at the world's largest banks

Auditing and defensibility

Audited and defensible data processing lineage and analyst review.

Proven stability and uptime

Our maturity ensures that 99.9% system uptime is the standard and not the exception.

A global team of experts

Our team of expert advisors, configuration specialists and data scientists are there to provide assistance when you need it without long running, costly engagements.

Our Cloud, your Cloud, or your data center

Complete flexibility in deployment strategy whether using your data center, within your Cloud, or providing a premier experience through our managed hosting.