Proactive monitoring and data archiving are required when it comes to trade and communication surveillance. Crafting a policy that is specific, clear, and actionable is Step 1. Calling out what behaviors are going to be monitored, where and how they’re going to be monitored, and what the consequences are for transgressions from those acceptable behaviors is an essential activity on the path towards communication compliance. Have a look at this presentation and visit our website for more detailed information. Visit: https://bit.ly/3pnW4eu

1. ARCHIVING SOUNDS
SIMPLE ENOUGH
UTILIZING ADVANCED TECHNOLOGIES

2. INTRODUCTION
INTRODUCTION
INTRODUCTION
If you think back far enough into the past,
digital data was stored on giant reels of tape.
Floppy disks were heralded as a giant
technology leap in the 1970s. Decade after
decade, the form factor of archiving solutions
got smaller and smaller. Now, they’re
something that you don’t even “see”
miraculously captured in a cloud.

3. CLOUD
TECHNOLOGY
There’s a lot of technology behind the cloud that you don’t see, but that’s part of what
makes the advances in archiving so incredible. Highly indexed. Searchable. Even
unstructured data types like videos and images can now be tagged, archived, and queried
on demand.

4. MONITORING & DATA
MONITORING & DATA
MONITORING & DATA
ARCHIVING
ARCHIVING
ARCHIVING
Being “pro-active” when it comes to
surveillance is where it all starts. Crafting a
policy that is specific, clear, and actionable is
Step 1. Calling out what behaviors are going to
be monitored, where and how they’re going to
be monitored, and what the consequences are
for transgressions from those acceptable
behaviors is an essential activity on the path
towards compliance.

5. ARTIFICIAL
INTELLIGENCE
Can artificial intelligence (AI) and machine learning (ML) technologies make a difference?
Sure. Sophisticated approaches that leverage AI/ML are designed to identify patterns.
Proactively monitoring what happens next is something that all financial firms need to do.
Conversely, if the communication on that channel stops, but financial transactions are
being posted at an increased rate or with new stocks or commodities, that incongruity
may be worth investigating.

6. CONCLUSION
AI/ML can help snuff out the false positives
which reduce the cost of compliance upfront
– and downstream if an investigation into
false positives sparks a backlash.

7. CONTACT US
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