Can you answer these 4 questions?
What do you do when your regulator asks you to justify a Trade, Investment Decision or Sales Process?
Can you demonstrate that your Sales process is adhering to the companies policy and is honest, true and not misleading?
What do you do when your CIO or head of Investor Relations leaves for a competitor?
How do you evidence that you have a structured approach to monitoring your electronic communications data and dealing with any suspicious activity you find?
The answer is Fingerprint!
Fingerprint from IP Sentinel
Fingerprint is an identification & investigation platform that searches for Market Abuse, Financial Crime, Conduct Risk, Employee Policy compliance, Customer Appropriateness and Mis-Selling systematically within your electronic communications.
Manage your investigations systematically
Any Suspicious Items can be reviewed and action taken, or not, as a reviewer considers appropriate. If action is taken the Fingerprint Platform has a full case management system that supports the investigation from start to finish providing a full activity timeline of the investigation and a case log of related documents, links and other relevant electronic communications.
Intelligently Scan your Data for suspicious activity
The structured content of your electronic communications is indexed into a relevance search engine. Our intelligent agents continually parse the relevance search engine to discover any suspicious activities or phrases. If any are found, they are added into a systematically ranked Suspicious Items list. Our Fingerprint Risk Ranking methodology uses a dedicated algorithm to ensure the most suspicious items are always ranked at the top of the To Do list.
Structuring the unstructured
Fingerprint ingests multiple eCommunication channels of unstructured data (eMail, Bloomberg, Reuters, Voice, Instant Messaging etc), transforming abstract communications into standardised, indexed and searchable text. Data transformations include transcoding voice to text and decoding document attachments
Case Management toolset
Fingerprint’s Case Management tools provide a fully audited, systematic, structured and scalable investigation process. Each case will capture any relevant Search activity across the your entire data set. Multiple items, free text notes and any relevant external files can also be attached to each Case. The case itself has its own workflow and can be moved through the various stages of your investigation structure.