New Compliance Platform

  Over the course of FY17–21, the U.S. Securities and Exchange Commission (SEC) brought enforcement actions against 700–850 odd corporations and people, levying average fines of $1.2 billion per year. 1 During the same time period, the Financial Conduct Authority (FCA) of the United Kingdom assessed $233 million in fines to about 14 businesses and individuals annually. 2 Such incidents keep happening and show no signs of stopping. Then the industry is put under more pressure as new regulations are introduced such as capital market surveillance systems or existing ones are changed. Over the course of FY17–21, the U.S. Securities and Exchange Commission (SEC) brought enforcement actions against 700–850 odd corporations and people, levying average fines of $1.2 billion per year. 1 During the same time period, the Financial Conduct Authority (FCA) of the United Kingdom assessed $233 million in fines to about 14 businesses and individuals annually. 2 Such incidents keep happening and s...

  Shield is a cross-regulation communication compliance platform that utilizes AI, Natural Language Processing and Visualization capabilities to automate and orchestrate the complete communications compliance lifecycle, mitigate risk and make surveillance efficient and ROI driven. our powerful capabilities include eComms Surveillance, Compliance Data Management, Discovery and Investigations, Record Keeping and Trade Reconstruction. For more details visit our website - https://www.shieldfc.com/

In coronavirus condition and are you arranged to guarantee complete consistence going advances, considering future administrative necessities combined with home office capacities? In order to ensure robust compliance in situations like the one we are facing today financial institutions must consider how to achieve breadth in terms of the asset classes under communication surveillance while simultaneously maintaining the flexibility to adjust rules and alerts in accordance with changing market conditions. The accompanying records a few contemplation a money related establishment ought to consider while checking on current tasks for MAR consistence. Efficient C ompliance Surveillance across different Financial Instruments Ensure fixed income coverage for both liquid and illiquid instruments All fixed income products (including cash and derivatives) falls under MAR surveillance  and are subject to Compliance surveillance. Alternative detection models, therefore, must be app...