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eComms Surveillance

Keep an eye on everything

surveillance of electronic and online interactions

Think about this for a second; if you were to surveil, check and control all aspects of interactions with customers in terms of compliance, how much time would you spend? 

With eComms Surveillance from TM Group and our top business partners you get market leading and business-critical compliance softwares, which you can reply on completely. 

eComms Surveillance sees everything, and with some input from you, it alerts you and lets you know when and how to react on a possible compliance breach. With the detections models and the advanced workflow, you are able to be efficient and effective about surveiling your complete set of interactions.

Connect the dots

Unite the silos with eComms Surveillance

Financial Services and other entities, that deal with transactions, must surveil all interactions and communications on multiple touckpoints and in several silo-based applications, investigate and monitor financial data and behavioral patterns.

Data is often spread across several silos, managed by people, who don’t really communicate efficiently. This means the quality and quantity of the data, the processes, the integrity and the accessibility often differs from silo to silo. This makes it difficult for compliance officers to keep track and comply to regulations on the matter.

These regulations require thorough investigations and deep-dives into datasets on multiple locations and in different formats in order to conduct the required risk analysis, investigations and monitoring.

With eComms Surveillance you will get an AI-powered virtual compliance officer, that unities all datasets across all silos. eComms Surveillance performs the job in a vigilant, impactful, powerful, cost-efficient and accurate way. This allows your human compliance officers to focus on actual decision-making other than research.

eComms Surveillance Features

Customization

No organization is completely alike, so we tailor the solution to your needs and goals. E.g. by setting up tailored detection models. You can read more about detection models further down.

Integrated data surveillance

The solutions links and combined datasets and -sources enabling a complete and end-to-end surveillance.

Support

You’ll be connected to expert support, so you eComms Surveillance solution is tuned and best-suited to your needs.

Detect with precision

eComms Detection Models

The detection models analyses, surveil and detect behavior and motivation and intention patterns, that otherwise would be hidden behind vast ammount of data and silos.

Based on Machine Learning and AI the solution proactively detects behavioral patterns both structured data (trading data, personal information, market news, etc.) and unstructured data (voice, SMS, email, text, eComms, etc.).

Examples of detection models

Market Abuse

Insider trading is when an employee acts on a non-public information and gains an advantage over the stock market by buying or selling.

Front running is when a broker makes his/her own purchase of a stock prior to completing a major purchase on behalf of a client, and therefore manipulates the market.

Collusion is when two or more companies, who is normally in competition with one another, comspire and collude to push the demand of a good, and therefore manipulation with and gaining an advantage of the market.

Information Handling

Insider information is the step before an insider trading is made. It is the information that led to the insider trade.

Deceptive practices is when a representative from a company deliberately misinform or deceive a client/customer.

Trade secrets is information about a company that could provide the company with a competitive advantage, and then used to gain an unfair market advantage, is a violation of the trade secret, and a criminal offense. 

Employee Misconduct

Money Laundering is when someone tries to turn illegally obtained money into legally obtained money.

Kickbacks is a sum of money someone pays someone to gain some form of market advantage, which then is unfairly obtained. 

Bragging is when a broker literally brags about a succesful trade, a valuable information etc., which will give him/her an advantage on the stock market.

As you are increasing your communication channels – both internally and externally – you will most likely get an increasing amount eComms data as well. This makes work harder for any compliance officer. Fortunately for you, our eComms Surveillance solutions and our experts can set everthing up for you, and customize the detection models for your business. 

And the best thing; the complete eComms lifecycle can be automated.

Customized workflow

Advanced Workflow

The newest feature to eComms Surveillance from Shield is Advanced Workflow (read the story here). Advanced Workflow allows compliance officers to break down the data silos and connect to all relevant colleagues in creating, updating, amending the datasets, in the most advanced but simple to use workflow application.

The processes and procedures of any financial service organization or other regulated entities are different from organization to organization. This is exactly why all workflows can be customized to best suited your business-processes. We develop them based on a numerous number of datasets and behavioral models.

Advanced Workflow is a valuable ally for any compliance officer.

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