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Holistic Surveillance Solution for Financial Services

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A holistic surveillance program combines surveillance technology with human expertise to normalize data sets from multiple sources, run sophisticated analytics, and review the results with dedicated surveillance analysts to provide your firm with a complete, efficient, and holistic view of activity and behavior.

Regulators globally continue to focus on identifying and punishing insider trading and other misconduct, and they are investing in developing and improving their own technology and data analytics capabilities to support this priority. In turn, the regulators expect firms to implement their own technology in order to remain vigilant and proactive, which places an additional burden on a firm's compliance function.

How We Help  

Our holistic surveillance solution combines ACA's technology solutions with white-glove support from ACA's dedicated compliance and surveillance specialists to provide firms with a comprehensive, efficient, and cost-effective approach to surveillance. By bundling these services together, your firm's compliance team can leverage the benefits of ACA's outsourced services and tech capabilities and get back valuable time to focus on more strategic tasks. Let our team provide the confidence of a complete top-level view of activity and behavior while relieving your compliance function of the burden of day-to-day tasks. The solution includes:

 

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Trade Surveillance Technology and Analysis

Produces “Items of Interest” for focused follow-up investigation by ACA’s surveillance specialists.

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Electronic Communications Surveillance

Identifies potentially significant business and compliance issues at their earliest stages.

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Expert Network Call Chaperoning

Relieves the burden of monitoring and testing around the use of expert networks or similar avenues of research.

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Social Media & Online Presence Surveillance

Identifies potential problematic online activity and helps provide regulatory guidance on the use of social media.

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Employee Compliance Technology

Provides an integrated solution for collecting, tracking, and analyzing employees' personal trading and reported activities.

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White Paper

Best Practices for Implementing a Holistic Surveillance Program

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

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Best Practices for Implementing a Holistic Surveillance Program

Webcast

Best Practices for a Holistic Monitoring Programme

Preventing, detecting, and punishing market abuse is a high priority for regulators - whether acted in a personal or professional capacity. Ensuring your firm has a well-rounded and comprehensive compliance monitoring programme that covers critical areas and presents a full picture of activities is vital to mitigate risks.

Are you confident you have sufficient trade surveillance and employee monitoring safeguards in place to identify market abuse and reduce the risk of financial crimes to avoid civil and criminal sanctions?

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Best Practices for a Holistic Monitoring Programme Webcast Cover Slide