Comprehensive surveillance platform providing trade, communications, and conduct surveillance for asset managers and fund managers. Includes AI-driven detection of insider trading, market manipulation, and front running, with configurable alerting and case management.
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Product documentation highlights automatic detection of market manipulation including abuse patterns. Core function for trade surveillance. | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Explicit mention of AI-driven insider trading detection in product description. | |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
Front-running detection is listed as a feature on NICE Actimize platform. | |
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Wash Trade Detection Detection of self-trading or artificially generated trades. |
Wash trade detection is a standard compliance capability and expected in comprehensive conduct surveillance. | |
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Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
Spoofing/layering detection is a specific anti-manipulation detection workflow the product supports. | |
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Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
Covers trade surveillance for multiple asset classes, as per website and datasheets. | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Rules are described as configurable, allowing custom firm-specific logic. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Real-time monitoring of trades for anomalies and alerts is a system essential. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Product includes investigation and retrospective analysis, indicating access to historical data. | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
AI-driven prioritization of alerts is a standard NICE Actimize feature. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Pattern recognition via AI analytics is explicitly called out in marketing materials. |
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
Ingests data from multiple trade and communications sources to provide holistic surveillance. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Per platform documentation, data normalization is performed to unify diverse sources. | |
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Real-time Data Ingestion Speed Latency from data input to analysis. |
No information available | |
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Big Data Scalability Handles high volumes of transactions and market data without performance loss. |
Designed for large-scale, enterprise-class clients; NLP and analytics require big data scalability. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
Vendor offers REST APIs and integration connectors (as per technical guides). | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
Processes both structured (trades) and unstructured (communications) data. | |
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Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
Reference data management is described in platform capabilities (e.g., instrument codes). | |
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Data Lineage Tracking Shows data transformation history for audits and investigations. |
Data lineage tracking for audit and compliance reviews is highlighted as an enterprise feature. | |
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Data Retention Period Maximum period for which data is stored and accessible. |
No information available | |
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Cloud Data Storage Support Option to store data securely in the cloud. |
Cloud deployment and data storage support mentioned in product overviews. |
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
Rule libraries for MAR, MiFID II, Dodd-Frank, etc., are specifically advertised. | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Rule applicability by region is a standard for global clients (jurisdiction awareness). | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
Continuous regulatory updates described in maintenance/support materials. | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Regulatory report generation is a core use case supported in templates/formats. | |
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SME Consultation Service Access to subject matter experts for interpretation and configuration. |
NICE Actimize provides ongoing access to compliance/subject matter experts. | |
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Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review. |
Audit logs on rule changes are kept by the core compliance system. | |
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Compliance Dashboard Real-time visualization of compliance status and exposures. |
Compliance dashboards for monitoring real-time exposures are shown in product screenshots. | |
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Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
Automation of regulator submissions is supported for MiFID II and global rules, per marketing literature. | |
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Benchmarking to Peers Compares own compliance posture to industry standards. |
Benchmarks and peer comparisons offered for compliance KPIs (product documentation, testimonials). |
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Case management is a key offering for alert investigation and resolution. | |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
Alert triage workflows are built into the core solution. | |
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Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
Alert deduplication and suppression are mentioned as tools to reduce noise. | |
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Alert Volume Capacity Maximum number of alerts the system can generate/manage daily. |
No information available | |
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Workflow Customization Customizable investigation workflows to fit internal processes. |
Workflow customization is highlighted as a key customer benefit in all platform materials. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Annotating/tagging of alerts is standard in investigation case management. | |
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Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
Root cause analysis is a function enabled through investigation tools. | |
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Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously. |
Bulk alert handling and batch processes are documented for enterprise clients. | |
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Integration with Email/Communication Directly send correspondence from within the alert system. |
Integration with email/communication tools noted in API/integration documentation. |
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Customizable dashboards for end users described in feature overview. | |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
Mobile and web-based access is supported (mentions browser-based interfaces). | |
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Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based access control implemented for compliance/security needs. | |
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Multi-language Support Available in multiple languages for global teams. |
Multi-language product offering for global teams is marketed. | |
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User Training Modules Embedded tutorials and guides for training new users. |
User training, documentation, and tutorials form a part of Actimize deployment. | |
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Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation). |
No information available | |
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Query Builder for Non-technical Users Visual interface to create complex searches without coding. |
User-friendly query builder highlighted for compliance users to build searches without code. | |
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Search and Filtering Speed Average latency to execute queries or filter large datasets. |
No information available |
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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer. |
Data encryption in transit/at rest is standard for NICE Actimize risk/compliance solutions. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Single sign-on (SSO) integration supported in the enterprise-level offering. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
Multi-factor authentication supported for secure access. | |
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Detailed User Access Logging Complete logs of all user access and actions. |
Comprehensive user access logging available for audit/compliance. | |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
Product is built to support GDPR and other privacy regimes for institutional clients. | |
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Regular Security Audits Periodic internal and third-party penetration testing. |
Vendor performs regular internal and external security audits. | |
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Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
Data masking/redaction is available in case management to protect PII. | |
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Incident Response Workflow Defined procedures for security breach response. |
Incident response workflow included as part of operational compliance features. |
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Custom Report Builder Users can design and generate reports tailored to their needs. |
Custom report builder supported for bespoke/internal/external reporting. | |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
Pre-built regulatory reporting templates are included for key regimes. | |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
Scheduled/automated reports are mentioned as part of reporting automation. | |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
Exports to CSV, PDF, Excel standard for enterprise reporting. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ad hoc query and reporting possible, as per training/user manuals and demo videos. | |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
Interactive data visualization is shown prominently in product UI. | |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
Comprehensive audit trails covering user actions and rule changes is an enterprise requirement and implemented. | |
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Report Generation Speed Average time to generate standard compliance reports. |
No information available |
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
ML pattern detection described as a key differentiator for the platform. | |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
NLP is used to analyze communications surveillance (emails, chat). | |
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Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes. |
Product adapts thresholds using self-learning algorithms, as per AI-driven alerting. | |
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Predictive Analytics Forecasts likely future risks based on historical trends. |
Predictive risk analytics mentioned in AI capabilities overview. | |
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Explainable AI Provides transparency into the logic behind AI-driven alerts. |
Explainability of AI models is a selling point for regulators and is specifically mentioned. | |
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Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
Anomaly detection engines running in real-time are part of the detection suite. | |
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False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics. |
No information available | |
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Continuous Model Training System can update AI/ML models without manual intervention. |
Continuous model training for AI/ML is noted in product AI descriptions. |
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud deployment option available as SaaS offering. | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
On-prem deployment option offered for sensitive/high-security environments. | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery and uptime commitments available in SLAs. | |
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Uptime/Availability SLA Level of guaranteed system uptime. |
No information available | |
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Zero-Downtime Upgrades System can be upgraded without interrupting service. |
Zero-downtime upgrades referenced in vendor tech sheets for SaaS/cloud clients. | |
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Automated Patch Management Automatic deployment of security patches and bug fixes. |
Automated patch management mentioned for regulatory compliance and security. | |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
24/7 vendor support highlighted for global financial institution clients. | |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
Performance monitoring provided as part of the administration and health modules. |
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Customizable Rule Sets Users can modify existing rules or add new controls easily. |
Rule sets are customizable at client level, as described in product brochures. | |
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Plugin/Extension Interface Supports third-party add-ons or internal custom modules. |
Plugin interface or custom module support available for extensibility. | |
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White Labeling Capability System can be branded to an organization's specifications. |
No information available | |
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Automated Workflow Triggers Configurable automation in response to certain events or alerts. |
Automated workflow triggers supported for alerts and case escalation. | |
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Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
Scalable user licensing offered for enterprise/SaaS customers. | |
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Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule. |
No information available | |
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Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers). |
Multi-tenancy available for managed service deployments. |
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Transparent Fee Structure Clear upfront pricing with no hidden fees. |
Transparent fee structure provided as a selling point for regulated buyers. | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
Modular pricing based on features selected, per vendor proposals. | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Ongoing support and maintenance generally included as part of enterprise agreements. | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
Cost scales by usage/data/seat in SaaS and managed service models. | |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
Free trials, PoCs, and pilots offered to large institutions for suitability verification. | |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
Flexible contract lengths discussed in licensing guides and T&Cs. | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
Transition/migration support specified for onboarding/offboarding clients. |
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