The questions that keeps any good COO or Head of Compliance awake at night are:
- Is the evidence of any Market Abuse hiding in plain sight?
- Am I able to detect Employee Conduct breaches before they become a reputational issue?
- Can I be sure that my sales team are selling the correct product to the defined market in the approved manner?
Since the Financial Crash the cases of Market Manipulation, Insider Trading, Mis Selling and Employee Misconduct have all been identifiable from emails, Bloombergs, instant messages and Voice calls made long before the actual crimes were committed.
Drowning in data
Firms within the financial services industry are already required to Archive and Supervise Electronic Communications. The largely unstructured data set is constructed from a dizzying array of multi-channel communications between companies and individuals. These channels commonly include emails, Instant Messages (‘IM’), phone calls and Bloomberg messages.
Can you afford to always be a step behind in your supervision?
Case after case demonstrates that planning nefarious activities occurs within the unstructured communications data of a Firm. In hindsight there are always significant indications of the intent of wrongdoing, whereas the actual execution itself only leaves a faint trail in the data.
The IP Sentinel Fingerprint platform uses a unique combination of Artificial Intelligence, Natural Language Processing, Sentiment Analysis & Logographical techniques to continually scan for, and assess, your most impactful employee risks which are systematically ranked into the Fingerprint Risk List. The Fingerprint Risk List ensures that at a glance you can identify the sharpest needles of suspicion in your company’s data haystack.
On review of the Fingerprint Risk List you can create a Fingerprint Case File to investigate any risk item of interest. This structured workflow provides a repeatable process to manage your investigation into suspicious activity. Using our integrated eDiscovery toolkit you can enrich each case directly, uploading external files, adding notes & links and progressing the case through multiple stages & staff.
The platform provides an entire suite of KPIs and metrics to demonstrate that your supervision process is healthy and working as documented in your policies.
The platform has an extensive API so that integration with any other Front Office Trading or Investigation system is smooth as silk.
We have developed a secure cloud based solution based on the requirements of the premier Regulatory Host ACA Mirabella
The Regulatory Framework ?
There are 3 key Rules from the FCA that you need to satisfy.
Is my Firm Likely to be Investigated?
It’s probably more common to be subject to investigation than you might think.