Holistic TradeCompliance Accelerate Compliance & Reduce Risk

Holistic Trade Compliance

Holistic Trade Compliance Financial services organizations worldwide are

under increasing scrutiny as they face mounting regulatory pressure and more complex trade executions that open the door to sophisticated financial fraud and market manipulation. The latest regulations and standards, including MiFID II, MAR, Dodd-Frank and FX Code of Conduct expand the scope of monitored personnel, asset classes, communication channels and devices, as well as evidence retention requirements. They also stiffen the demands for performance monitoring, proof of compliance and response to regulators – in some cases requiring a 72-hour turnaround – and enforce compliance with escalating fines for breaches.

The NICE Actimize Holistic Trade Compliance platform is a true holistic compliance platform and helps firms ensure regulatory compliance while also improving productivity (by automating compliance tasks through workflow management and intelligent automation). It does this by capturing and analyzing all communications and trades, and automatically reconstructing a complete timeline of the trade lifecycle in a single unified view.

The NICE Actimize Holistic Trade Compliance platform uses advanced analytics, machine learning and Natural Language Processing (NLP) to detect the hardest-to-find forms of market abuse and conduct risk (including collusion, benchmark manipulation and insider trading). It creates, analyzes and presents profiles of both entities (individuals, trading desks, accounts) and events (trades, emails, calls) to give analysts a complete view of risk. Firms will improve their responsiveness to regulators. Analysts will spend less time reacting to potential risk, and more time proactively managing it.

Proactively Manage Compliance Risk

Detect & Prevent Non-compliant Activities

Detect Intent

Reconstruct Trades

Identify Conduct Related Threats

NICE Actimize Holistic Trade CompliancePlatformThe customizable NICE Actimize Holistic Trade Compliance platform is comprised of several integrated modules, all linked through the award-winning NICE Actimize ActOne Investigation and Case Manager. ActOne provides a holistic view of risk, along with workflow management and investigation support tools. It works in harmony with your existing third party solutions to fit your firm’s current needs and grow with you as your business evolvest.

Communication ComplianceCapture and monitor all regulated user communications in line with stringent regulatory demands, while also protecting your customers and your firm’s reputation.

• Unifies capture and archiving of current and future enterprise-wide communication modalities in one platform. This includes trading turrets, front- and back-office telephony systems, Skype for Business and mobile phones.

• Enterprise search, correlation, management and retention across all communications.

ComplianceRecording

• Prove all trade conversations are captured and retained as required by MiFID II.

• Easily verify all endpoints are connected and recording prior to start of trading day.

• Quickly identify any call that wasn’t recorded during the trading day.• Efficiently manage moves, adds and changes (MACs), as well as litigation

holds, call downloads and retention policies. • Generate insights to help manage capacity, optimize resources and reduce

costs

ComplianceAssurance

NICE COMPASS example reports and dashboard

Holistic Surveillance

• Automatically monitors 100% of trade communications: voice, email, chat and social.

• Extracts conversation insights and pinpoints suspicious electronic and voice communications.

• Natural Language Processing (NLP) and machine learning models specifically tuned for financial markets.

• Proven to reduce false positive rates by more than 90% using language models based on machine learning neural network automated speech recognition technology, powered by Nexidia Speech Analytics.

• Fully integrated voice transcription eliminates the need to import voice transcriptions from a separate speech analytics system.

• Identifies problematic communications and automatically assigns them for review using Intelligent Risk Scoring.

CommunicationSurveillance

Holistic SurveillanceNICE Actimize Holistic Surveillance combines the industry’s leading Communications Surveillance and Markets Surveillance solutions with the award-winning ActOne Case Manager to provide a 360-degree view of risk across the enterprise, ensuring full compliance with global regulations.

Using the most advanced and accurate Analytics, Natural Language Processing and AI, our Holistic Surveillance pinpoints the hardest-to-find types of market abuse, conduct risk and suspicious communications. It provides the most comprehensive coverage across all asset classes and communication channels, including voice. With NICE Actimize’s Holistic Surveillance, your firm will reduce false positive rates, automate time-consuming investigative processes, and empower analysts to reconstruct complete trade timelines in just minutes.

By deploying NICE Actimize Holistic Surveillance in the cloud, your firm will also reduce Total Cost of Ownership (TCO) by eliminating overhead.

• Complies with MAR requirement to detect manipulation across products and markets.

• Comprehensive out-of-the-box coverage for all asset classes in one solution – including over-the-counter (OTC - FI, FX and Swaps).

• Leverages analytics that monitor both orders and executions, and advanced insider dealing models (enhanced with news sentiment).

• Firms can configure rules and tailor alert thresholds based on specific trading activity for more accurate detection and lower false positive rates.

• Market Data as a Service at no additional cost. • Interactive visualizations provide context to analysts and management

so they can quickly and more efficiently understand behaviors and their potential impact on the firm.

MarketsSurveillance

• Quickly and accurately reconstructs complete trade timelines (50x+ faster than manual methods) using automated trade reconstruction.

• Retrieves all trade data and related communications in a single search and assembles them in a timeline for easy review.

• Displays reconstructed trades on a timeline showing all events and activities.

TradeReconstruction

• Uncovers conduct risks and market abuse that rule-based models are not able to detect.

• Pinpoints risky individuals and conduct-related threats.• Aggregates a wide range of structured and unstructured data.• Creates profiles of normal trading behavior and identifies deviations from the

norm.• Detects anomalies and discovers new groups with machine learning and

statistical analysis.• Generates risk scores and heat maps to highlight risky entities.

Behavioral Analytics

• Identifies prohibited sales practices and unsuitable investment recommendations.

• Broker Risk Dashboard provides instant view of risk posed by individual brokers.

• Enables business users to easily create custom rules with open analytics.

SalesPractices

NICE Actimize Holisitic Surveillance case review - combines Communication Surveillance and Markets Surveillance data into the ActOne Case Manager

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About NICE ActimizeNICE Actimize is the largest and broadest provider of financial crime, risk and compliance solutions for regional and global financial institutions, as well as government regulators. Consistently ranked as number one in the space, NICE Actimize experts apply innovative technology to protect institutions and safeguard consumers and investors assets by identifying financial crime, preventing fraud and providing regulatory compliance. The company provides real-time, cross-channel fraud prevention, anti-money laundering detection, and trading surveillance solutions that address such concerns as payment fraud, cybercrime, sanctions monitoring, market abuse, customer due diligence and insider trading.

www.niceactimize.com/compliance

About NICENICE (Nasdaq: NICE) is the world’s leading provider of both cloud and on-premises enterprise software solutions that empower organizations to make smarter decisions based on advanced analytics of structured and unstructured data. NICE helps organizations of all sizes deliver better customer service, ensure compliance, combat fraud and safeguard citizens. Over 25,000 organizations in more than 150 countries, including over 85 of the Fortune 100 companies, are using NICE solutions.

NICE Compliance protects financial institutions by enabling regulatory trade compliance through automation and intelligence.

www.nice.com/compliance

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compliance@niceactimize.com