Communications compliance, trader surveillance and the ability to monitor, record, store, analyse and recall relevant e-communications and trade data have historically been viewed largely as a box-ticking exercise and a drain on resources for many regulated financial institutions. However, this is rapidly changing.
Regulatory requirements are increasing and remits are expanding. In addition, the introduction of the Senior Managers and Certification Regime (SM&CR) brings personal liability to senior managers of regulated firms, making them potentially subject to fines and imprisonment for company breaches of compliance.
As a result, many firms are now looking to put in place their own leading practices, driving e-comms compliance and Internal Policing from within.
Through our partnerships with the world’s leading Regtech vendors, our trademark client focus and our uniquely tailored approach, we help firms leverage the latest cutting-edge technologies to meet and exceed their regulatory requirements while becoming more effective, more efficient and more competitive.
SOTERIA – CAPTURE, STORAGE & ANALYSIS
Surveillance, capture and storage of any type of multimedia communication globally, in real-time and at source, ready for review and analysis in a single-pane view, facilitating compliance with regulatory requirements including MiFID II, MAR, Dodd Frank, REMIT etc.
Eliminate data silos, without the need for middleware: just one single SaaS solution, Soteria.
- Real time capture of all types of communication data
- Storage of data on-premise or in a secure, resilient cloud
- Search metadata and retrieve objects from any location globally
- Third-party certify your data for duty of care and evidential weight
- Fully encrypted audit trail for all objects and user activity
- Set retention policies based on any location and specified duration
MOBILE CALL RECORDING
Clients regulated by the Financial Conduct Authority rely on our secure services to record and store their employees’ mobile communications – and stay compliant. Discover how our flexible solutions use carrier-grade technology to capture voice calls, SMS messages, social media comms and webmail, without the need for any new infrastructure.