Cognitive View RG 271

With the onset of the Covid-19 pandemic, businesses were forced to embrace remote working almost instantly without any scope to prior preparations. Now, as the economy recovers, more people are sticking to flexible work schedules. video conferencing, collaboration chat, and other unified communications tools becoming common in a hybrid work environment.

Firms need to monitor and supervise their staff for some of these additional channels to meet many regulatory requirements. So monitoring controls need to go beyond email and include all audio, video, and text-based channels. This includes Microsoft Team, Cisco Webex, Zoom, Slack, etc.

Supported Compliances

ASIC

Australian Securities and Investments Commission

Dodd Frank

SEC

Securities and Exchange Commission

FINRA

FINRA

Financial Industry Regulatory Authority

Dodd Frank

Dodd Frank

Dodd–Frank Wall Street Reform and Consumer Protection Act

FINRA

MFCA

Material Flow Cost Accounting

MiFID II

MiFID II

Directive 2014/65/EU and Regulation No 600/2014

Dodd Frank

CFTC

Commodity Futures Trading Commission

IIROC

IIROC

Investment Industry Regulatory Organization of Canada

MAS

MAS

Monetary Authority of Singapore

HKMA

Hong Kong Monetary Authority

FSC

FSC

Financial Services Council

FCA

FCA

Financial Conduct Authority

MiFID II

GDPR

General Data Protection Regulation

MiFID II

ePrivacy

Dodd Frank

CCPA

California Consumer Privacy Act

DFSA

Dubai Financial Services Authority

Key features

audio video text communication

Capture

Supports a secure solution to capture video, voice, and text from all communication channels in their original form

Cognitive View storage

Archive & Legal hold

Archives all electronic communications with a timestamp to support internal audit and legal reviews. Protects sensitive data for leakage and misuse

Cognitive View search
E-Discover

Converts voice, text, and unstructured video data from all communication platforms to a structured form. It helps you in finding facts and matters of concern fast with intelligent search and predictive analytics.

Semantic Analytics
Supervision

Automate the manual supervision process with an electronic supervision model with Predictive and prescriptive analytics. Real-time compliance advice and framework to support staff training

Risk assessment
Risk Management

Risk-based supervision prioritizes what matters most, keeping regulatory, customer, and product distribution principles in mind. Out of the box workflows to support case management for compliance, risk management, and audit process.

Understand data
AI Explainability

Provides necessary transparency and reasoning behind the AI decision-making process to support any legal review. Human in the loop feature to support a hybrid model for smoother operationalization at 1LOD

Complaints escalation prevention
Incident Management

Incident management supports out-of-the-box regulatory requirements and best practices around operational risk management.

Verify data
Regulatory Reporting

Out of the box reporting template to support breach reporting for several global regulators.

How it can help

  • Improve quality of service while reducing operational costs by capturing and analysing customer and workforce conversations.
  • Gain operational efficiencies by analyse voice for compliance, workforce optimisation.
  • Supervise & monitor the communication channels for compliance & conduct risk automation.
  • Support incident reconstruction & audit.
  • Improve product design by understanding by learning from customer feedback.
  • Incident & breach management.
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SEE HOW
IT WORKS!

Interested in learning about how conduct risk analytics work on the Cognitive View platform?

Cognitive View Scheduled demo