Provide excellent financial services while we make sure you are non violating any compliance policy
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.
Australian Securities and Investments Commission
Securities and Exchange Commission
Financial Industry Regulatory Authority
Dodd–Frank Wall Street Reform and Consumer Protection Act
Material Flow Cost Accounting
Directive 2014/65/EU and Regulation No 600/2014
Commodity Futures Trading Commission
Investment Industry Regulatory Organization of Canada
Monetary Authority of Singapore
Hong Kong Monetary Authority
Financial Services Council
Financial Conduct Authority
General Data Protection Regulation
California Consumer Privacy Act
Dubai Financial Services Authority
Supports a secure solution to capture video, voice, and text from all communication channels in their original form
Archive & Legal hold
Archives all electronic communications with a timestamp to support internal audit and legal reviews. Protects sensitive data for leakage and misuse
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.
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-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.
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
Incident management supports out-of-the-box regulatory requirements and best practices around operational risk management.
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.
SEE HOW IT WORKS!
Interested in learning about how conduct risk analytics work on the Cognitive View platform?