Lead sponsor

SOTERIA provides financial organisations around the world with the ability to compliantly capture, analyse, store and surveil any type of business communication and market data in real-time, within a single, global and hierarchical view, complete with an immutable ledger. 

Our Artificial Intelligence, Business Intelligence, and End-to-End Workflow capabilities include Proactive Monitoring and Alerting, Analytics and Reporting, the functionality to immediately create Trade Reconstructions with containerised Regulator Login Access, and also the ability to pre- populate 3rd party solutions such as CRM systems or Best Execution Templates, with accurate Voice-to-Text transcriptions, translations and notes. SOTERIA not only drives compliance, surveillance and risk mitigation on a global scale but also business efficiency.

Our globally dispersed and pen-tested tier-4 secure cloud infrastructure is currently used by 10 of the top 12 tier 1 banks, and we have over 180 other financial organisations, including buy- and sell- side firms, using SOTERIA throughout their front, middle and back office departments.

​www.soteriasoftware.co.uk

PARTNER SPONSORS


ACA Compliance Group (“ACA”) is a leading provider of governance, risk, compliance, performance, and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks inherent in their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks.

We’re committed to helping our clients protect and grow their businesses. We do this by bringing together the best people, technology, and services to deliver a comprehensive, integrated approach to GRC across financial services and other industries.

www.acacompliancegroup.com


Digital Reasoning is a global leader in artificial intelligence that understands human intentions and behaviors. Our award-winning conduct surveillance solution is used by global banks to identify conduct risk and defend reputations.

Digital Reasoning pioneered the application of AI-enabled communications analytics to first and second line controls among the world’s leading investment banks. Continual investment in our conduct surveillance solution is enabling our clients to evolve their surveillance capabilities and meet the challenges of a regulatory environment in which only a combined analysis of behaviours, intentions, and emotions can deliver the human-centric insights that accurately describe conduct risk.

www.digitalreasoning.com

Eventus Systems has its roots in the fast-paced, high-stakes proprietary trading community. We have retained that focus and responsiveness in building high-performance regulatory technology solutions for a broad range of clients with trade surveillance, compliance and market risk needs across multiple asset classes, including global equities, equity options, futures, fixed income, FX and cryptocurrencies.

We are data experts, and our Validus product is designed from the ground up to incorporate all relevant data types and sources needed to deliver holistic and comprehensive view of a firm’s risk profile, including compliance, trade surveillance and market risks.

From our base in Austin, Texas, we have been able to take a unique approach to development as we leverage our deep experience in capital markets against a fresh technology perspective from one of the pre-eminent cities for innovation and entrepreneurship.

Eventus has exceptionally strong capabilities when it comes to ETL (extract, transform and load) for data. Simply put, Validus ingests, normalizes and reconciles data from exchanges, brokers and vendors which is combined with proprietary client data to create a holistic picture of activity. This reduces risk, allows client and broker to be “on the same page” in real time, and ultimately lowers TCO when compared to either in-house systems or multi-vendor solutions. No other vendor can match Validus for handling data.

EventusSystems.com




OneTick Surveillance supports intra-day and T+1 examination of orders and transactions data. It features an alerts review dashboard with advanced visualizations, alert statistics, parameter tuning, static report-generation, trade reconstruction, and integrated case management. The system has the capacity and performance to process millions of orders, updates, and transactions per day, and to review years of history. OneTick Surveillance is complemented by TickData™ Cloud, our vast collection of reference data and market data history, covering global equities, futures, options, Forex, and corporate news. Subscribers may elect to use our market data or their own, or mix and match as desired. The system is currently in use by a global bank to satisfy MAR and the FCA’s Forex remediation requirements across multiple desks. It is used by the world’s largest options broker, the world’s largest algo operator, and by a major US clearing broker to meet CFTC surveillance requirements.

onetick.com

Based on an international benchmarking survey collecting the views of industry leading experts from 15 of the largest financial institutions globally, the 2020 Surveillance Benchmark Report provides a unique insight into the maturity and development of surveillance functions over the last 12 months, as well as predictions for the future. Including in-depth commentary from regulators, practitioners, consultants and technology experts, it is the only report for professionals in the industry.

Lead sponsor

Soteria_CMYK

Partner sponsors

ACA_Logo_CMYK

DR

Eventus Systems logo 1

OneTick

Researched and published by

1loD