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Actimize Trade Surveillance from NICE

Delivers a comprehensive trade surveillance solution that utilizes AI and machine learning to monitor and analyze transactions, detect suspicious behaviors, and manage risk effectively.

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Trade Surveillance Systems for Compliance

Software that monitors trading activities to detect potential market abuse, insider trading, front-running, and other prohibited practices using pattern recognition and anomaly detection.
More Trade Surveillance Systems More Compliance ...

Core Surveillance Capabilities
(12 Yes /12 Known /14 Possible features)

Market Abuse Detection
(10 Yes /10 Known /10 Possible features)

Data Integration and Coverage
(9 Yes /9 Known /9 Possible features)

Alert Management and Investigation Tools
(10 Yes /10 Known /10 Possible features)

Reporting and Analytics
(8 Yes /8 Known /9 Possible features)

Scalability and Performance
(4 Yes /4 Known /8 Possible features)

Compliance Coverage and Regulatory Support
(6 Yes /6 Known /6 Possible features)

User Access, Roles, and Security
(7 Yes /7 Known /7 Possible features)

Configurability and Extensibility
(5 Yes /5 Known /5 Possible features)

Machine Learning & Advanced Analytics
(6 Yes /6 Known /6 Possible features)

Support, Training, and Vendor Services
(6 Yes /6 Known /6 Possible features)

Electronic Communications Surveillance for Compliance

Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
More Electronic Communications Surveillance More Compliance ...

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Detection and Analytics
(9 Yes /9 Known /11 Possible features)

Alerting and Workflow
(10 Yes /10 Known /11 Possible features)

Regulatory Compliance Support
(10 Yes /10 Known /11 Possible features)

Data Management and Integration
(9 Yes /9 Known /11 Possible features)

User Experience and Access Control
(8 Yes /8 Known /11 Possible features)

Security
(10 Yes /10 Known /11 Possible features)

Deployment and Scalability
(7 Yes /7 Known /11 Possible features)

Reporting and Audit
(10 Yes /10 Known /11 Possible features)

Vendor Support and Maintenance
(7 Yes /7 Known /10 Possible features)

Cost Transparency and Commercials
(4 Yes /4 Known /10 Possible features)

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Real-time Monitoring The system's ability to analyze and flag suspicious trades as they happen.		Marketing materials state real-time monitoring and flagging of suspicious trading, consistent with real-time surveillance.
Post-trade Analysis Ability to conduct surveillance on completed trades for historical pattern detection.		Actimize supports post-trade/historical analyses for pattern detection as part of core surveillance.
Pattern Recognition Automated identification of market abuse patterns such as layering, spoofing, or wash trades.		Pattern detection (e.g., layering, spoofing, wash trades) is called out as a feature using AI/ML.
Anomaly Detection Statistical or AI-driven alerting on behaviors that deviate from historical norms.		Product literature highlights anomaly detection using statistical and AI-driven approaches.
Alert Generation Automated creation of notifications for compliance team review on flagged activities.		Automated alert generation for suspicious activities is a standard Actimize feature.
Custom Rule Creation Ability for users to define, implement, and adjust surveillance rules.		Users can create and customize surveillance rules, supported by configurable scenario engines.
Rule Library Pre-built rules for fast deployment and coverage of common compliance scenarios.		A rule library for common scenarios is included for rapid deployment.
Case Management Tools for documenting, tracking, and managing compliance investigations.		Actimize provides case management features for investigation and workflow management.
False Positive Reduction Mechanisms to reduce erroneous or unnecessary alerts.		AI/ML models discussed as reducing false positives in alerts.
Alert Prioritization System to rank the importance and urgency of alerts based on risk.		System prioritizes/ranks alerts by risk; explicitly mentioned as alert prioritization in product docs.
Investigation Workflow Structured process for alert review, analysis, escalation, and resolution.		Case investigation workflow, including escalation and review, is a standard component.
Audit Trail Comprehensive logging of user actions, rule changes, and investigations for compliance.		Comprehensive audit trails for rules, user activity, and investigations, supporting compliance.
Real-time Data Ingest Rate The maximum number of trades or messages processed per second in real-time monitoring.		No information available
Historical Data Retention Period Time duration for which trade data is maintained for surveillance and investigations.		No information available

Insider Trading Detection Ability to recognize trading activity that may be based on non-public, material information.		Actimize features include detection of insider trading patterns using AI and behavior analytics.
Front-running Detection Identification of personnel trading ahead of client or firm orders.		Front-running scenarios explicitly mentioned as part of market abuse models.
Spoofing/Layering Detection Detection of placing orders with intention to cancel to manipulate market appearance.		Detection of spoofing and layering is a primary use case described on product pages.
Wash Trading Detection Flagging of trades where the same party is buyer and seller.		Wash trading flagged in system documentation as a covered abuse pattern.
Marking the Close Detection Flagging trades aimed at influencing closing prices.		Actimize states 'marking the close' detection and similar patterns are part of their abuse models.
Churning Detection Detection of excessive trading to generate commissions or fees.		Churning/excessive trading detection is built in for certain asset classes.
Quote Stuffing Detection Identifies high volumes of order submission and cancellation to clog market data.		Quote stuffing/high-velocity order-cancel activity detection included per docs.
Reference Price Manipulation Detects attempts to distort benchmarks or reference prices.		Reference price/benchmark manipulation detection is described as a use case.
Cross-market Manipulation Coverage Ability to correlate and detect abuse across multiple venues or asset classes.		Supports surveillance across multiple venues, products, and jurisdictions.
Customizable Scenario Parameters Ability to fine-tune abuse scenarios based on firm or regulator needs.		Custom scenario configuration is supported per product description.

Multi-Asset Class Support Support for equities, fixed income, options, futures, FX, crypto, etc.		Supports multiple asset classes: equities, fixed income, derivatives, FX, etc.
Exchange Connectivity Direct feeds from major exchanges and trading venues supported.		Supports direct and normalized feeds from major global exchanges.
Brokerage/OMS Integration Supports data ingestion from order management & execution systems.		Integration with order/execution management systems (OMS) is standard.
Data Normalization Transforms different source data into a consistent format for analysis.		Automated data normalization is documented for cross-source analysis.
Reference Data Enrichment Enrichment of trade data with client, instrument, & market metadata.		Reference enrichment with client/instrument metadata included in product documentation.
Real-time Data Feed Support Can process and surveil incoming real-time order, execution, and market data.		Real-time ingestion and surveillance of order and trade data is a core feature.
Historical Data Import Bulk ingestion of legacy data for backtesting and lookback reviews.		Bulk import for historical/backtesting data supported, as mentioned for onboarding and regression analysis.
Third-party Data Integration Ability to integrate with data from third-party vendors and regulators.		Integration with regulator and third-party vendor data is listed on Actimize data sheet.
APIs for Data In/Out Public or private APIs for custom integrations to ingest/extract data.		Extensive API integrations for data import/export described in product integration guides.

Alert Dashboard Centralized view of current and historical alerts with filtering and sorting.		Centralized alert dashboards with filtering and sorting supported.
Workflow Automation Automates assignment, tracking, and management of surveillance cases.		Workflow assignments and automation are part of the investigation/case tools.
Investigation Notes Secure and timestamped note-taking for audits and reviews.		Case management includes secure note-taking, timestamped per audit standards.
Attachment Handling Upload and attach evidence or documents to cases or alerts.		Documents and evidence attachment to cases or alerts supported.
Audit Log Immutable record of all user and system actions related to cases.		Immutable audit log for all user/system case activity detailed in documentation.
Alert Escalation Workflow for raising the severity or assigning cases to higher authority.		Escalation workflows supported for review and reassignment.
Disposition Tracking Track final outcomes (dismissal, SAR filing, etc.) for audit purposes.		Tracks final outcomes/dispositions, e.g., SAR/STR filings, dismissals, for audit.
Bulk Alert Management Tools for actioning or closing batches of alerts efficiently.		Batch actions and closure of multiple alerts are facilitated in the UI.
Case Re-open Functionality Allows re-examination of closed cases if new information arises.		Cases can be re-opened in the event of new evidence or regulator request.
Integration with Email/Communication Platforms Send notifications, reminders, or extract communications as part of surveillance.		Integrates with messaging/email for notifications, reminders, and communication monitoring.

Regulatory Reporting Templates Pre-built templates for common regulatory filings (e.g., SAR, STOR, MROS).		Provides regulatory report templates for SAR, STOR, and similar filings.
Custom Report Builder Allows users to generate custom reports using extensive data filters and pivots.		Custom report builder with filtering and pivot capabilities available.
Scheduled Reporting Ability to automatically generate and distribute reports according to a schedule.		Scheduled automated report generation is supported.
Interactive Dashboards Visualizations and key metrics about alerts, investigations, and trends.		Interactive, real-time dashboards/reporting features available for investigation and analytics.
Data Export Capability Export raw data or reports in CSV, Excel, PDF, or other formats.		Exports in multiple formats (CSV, Excel, PDF, etc.) are available.
Historical Trend Analysis Tools for identifying trends and changes in trading or alert patterns.		Historical data and alert trends analysis is part of analytics functionality.
Management Information Reports KPI and MI tools for compliance and operations management.		Management info/KPI reports are standard for compliance teams.
Regulator/Exchange Communication Tools Direct interfaces to file or communicate with regulators or SROs.		Direct interfaces for regulatory communication/filing are supported (e.g., to FCA, FINRA).
On-demand Report Generation Speed Average time required to generate a standard report on demand.		No information available

Maximum Concurrent Users Number of users who can access and use the system simultaneously.		No information available
Event Processing Capacity Maximum number of events or trades surveilled per day.		No information available
Horizontal Scaling Support Ability to add compute nodes or instances to increase throughput on demand.		Reference architectures indicate support for horizontal scaling to handle large-scale surveillance loads.
Average Alert Processing Latency Typical time taken to process and output an alert for a suspicious trade.		No information available
99th Percentile System Response Time System's response speed for 99% of requests/users.		No information available
Performance Monitoring Tools In-built tools for monitoring system load, latency, and resource utilization.		Platform includes system performance monitoring tools in the admin console.
High Availability (HA) Architecture Implementation of redundancy, failover, and downtime minimization.		Designed with HA architecture: redundancy, failover, and uptime guarantees listed in solution specs.
Disaster Recovery Support Features ensuring system operation through major failures with rapid recovery.		Disaster recovery and business continuity are standard with the NICE/Actimize cloud solution.

Multi-jurisdictional Support Coverage for rules and requirements across different geographies.		Supports global deployment with compliance packs for multiple jurisdictions.
Regulation-specific Scenarios Pre-built rules and workflows for MiFID II, Dodd-Frank, MAR, FINRA, etc.		Includes regulation-specific rules, e.g., MiFID II, Dodd-Frank, MAR, FINRA.
Automated Regulatory Updates System is updated automatically as new regulatory guidance emerges.		Automated updates for regulatory changes are marketed as part of NICE/Actimize cloud solutions.
Audit Readiness Built-in features to simplify preparing for and supporting regulatory audits.		Product is audit-ready with robust logging, reporting, and audit trial features.
Trade Reconstruction Ability to visually and forensically reconstruct order/trade lifecycles for regulators.		Order and trade lifecycle reconstruction for regulators is a documented feature.
Evidence Packaging Collate and export all relevant materials for a particular investigation or filing.		Evidence collation and export for filings/investigations is supported in workflows.

Role-based Access Control Ability to define fine-grained user roles and permissions.		Granular role-based user access and permissions are configurable.
Single Sign-on (SSO) Support Integrates with existing enterprise identity management and authentication.		Single sign-on with enterprise identity integration (e.g., SAML) is available.
Multi-factor Authentication (MFA) Support for MFA to prevent unauthorized access.		Multi-factor authentication (MFA) is available for secure access controls.
Data Encryption at Rest All sensitive data is encrypted when stored on disk or in database.		Data encryption at rest is a standard enterprise feature in Actimize.
Data Encryption in Transit Sensitive data is encrypted during transmission between systems.		Data in transit is encrypted to meet industry security standards.
Logging and Monitoring of Access System records all user access for review and forensic purposes.		Detailed logging and monitoring of user access is included for security audits.
User Activity Alerts Generates alerts for suspicious or unusual user activity.		Alerts for suspicious user activity are part of security monitoring features.

Rule Editor/Designer Graphical or scripting interface for rapid rule development.		Rule editor with graphical and scripting options available for custom detection logic.
Parameter Tuning Fine-tune alerting thresholds, time windows, or scenario specifics per asset or desk.		Extensive parameter tuning for all thresholds/scenarios described as a benefit for compliance teams.
Plug-in/Module Support Add new detection logic or integrations with minimal code changes.		Plug-in/modular detection logic is supported for client customization.
Custom Dashboard Widgets Create or modify dashboard elements for role-specific workflows.		Customizable dashboard widgets per role and workflow documented.
Localization/Language Support Multi-language user interface and documentation.		Support for localization and multiple languages noted in global deployment section.

Machine Learning Model Integration Support for deploying and managing custom ML models for detection.		Actimize integrates proprietary and customer ML models in detection frameworks.
Adaptive Thresholds Alert scoring thresholds that adapt based on real-time market conditions.		Adaptive, dynamic scenario thresholds mentioned in ML/AI feature set.
Entity Profile Generation Autonomous generation and updating of trading entity behavioral profiles.		Entity profile generation and ongoing entity risk scoring described as core ML features.
Outlier Analysis Identification of uncommon or infrequent behavioral patterns.		Outlier and unusual behavior analysis handled by ML/anomaly detection routines.
Explainable AI Features Transparency and interpretability of automated alerting models.		Explainable AI outputs/interpretable ML models are highlighted in product briefings.
Self-learning Algorithms Ability for algorithms to improve over time using feedback from investigators.		Self-learning/adaptive algorithms with investigator feedback loop referenced in ML documentation.

24/7 Technical Support Round-the-clock technical assistance for critical system issues.		24/7 technical support and help desk services provided as part of NICE global support.
Dedicated Account Manager Named representative for ongoing client relationship and support.		Dedicated account management is included for enterprise customers.
Onboarding and Implementation Services Comprehensive support for system rollout, data migration, and testing.		End-to-end onboarding and implementation assistance available.
User Training Programs Initial and ongoing user training provided by vendor.		User training for onboarding and ongoing education is a standard service.
Knowledge Base/Help Center Online repository of product guides, FAQs, and documentation.		Online knowledge base and help center available for customers.
SLAs (Service Level Agreements) Guaranteed support response and resolution times.		Service level agreements (SLAs) for support response/resolution are provided.

Email Monitoring Ability to capture and analyze email correspondence for compliance risks.		No information available
Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance.		No information available
Voice Surveillance Monitors recorded voice calls for keywords or risk indicators.		No information available
Social Media Surveillance Captures relevant external and internal social media posts.		No information available
Mobile Device Coverage Ability to monitor communications across mobile devices.		No information available
Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms.		No information available
Application Support Number of distinct communication applications supported for monitoring.		No information available
Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data.		No information available
Historic Data Import Supports ingestion of historic communication data for analysis.		No information available
Multilingual Coverage Ability to monitor and analyze communications in multiple languages.		No information available
Attachment Analysis Analyzes file attachments for potential violations.		No information available
Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels.		No information available

Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content.		Product documentation and marketing emphasize detection of suspicious content using customizable detection models and keyword lists.
Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications.		The solution leverages AI and machine learning, which implies application of NLP for intent and context detection as part of advanced surveillance analytics.
Behavioral Pattern Analysis Detects unusual user behavior or communication patterns.		Described as using behavioral analytics to detect abnormal trading and communication patterns, confirming behavioral pattern analysis.
Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives.		Notes specify the use of AI and machine learning models that drive detection, correlate with product documentation online.
Risk Scoring Assigns risk scores to incidents/messages for prioritization.		Risk scoring is standard for Actimize, as it facilitates the prioritization of alerts and suspicious events.
Custom Rule Creation Allows users to define and adapt detection rules.		The platform advertises support for user-defined rules, which enables custom rule creation.
False Positive Reduction Rate Capability of the system to decrease the rate of false positives.		No information available
Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC).		Actimize offers regulatory lexicon libraries for multiple jurisdictions as part of its compliance toolkit.
Sensitive Data Detection Flags personal, confidential or proprietary information.		Sensitive data detection is part of compliance features to flag PII or confidential information.
Data Visualization Provides interactive graphics for incident trends, user activity, etc.		Product demos and documentation highlight dashboards and visual reporting for trends and incidents.
Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats.		No information available

Real-time Alerting Immediate flagging and notification of detected risks or violations.		Actimize provides immediate alerting on detection of suspicious or risky activity, fulfilling the real-time alerting requirement.
Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts.		User manuals specify that alerts are categorized by risk and priority.
Customizable Workflow Supports tailoring of review/investigation workflow steps.		The workflow is configurable to suit customer surveillance processes.
Case Management Integration Enables creation and tracking of cases linked to alerts.		Case management is integral to Actimize, allowing generation and tracking of cases from alerts.
Audit Trail Full logging of actions and changes for regulatory evidence.		System audit trails are highlighted as an out-of-the-box capability for compliance evidence.
Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules.		Reviewer assignment is automated in workflows as described in solution brochures.
Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts.		Alert suppression/filtering is embedded to manage false positives and alert noise.
Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases.		Workflow configuration includes escalation protocol management for unresolved issues.
Reviewer Collaboration Tools Enables teams to work together on case investigations.		Collaboration tools for team investigations are mentioned in the product UI guides.
Notifications & Reminders Automated email or in-app reminders for outstanding cases.		Notifications and reminders are available to support workflows and outstanding reviews.
SLA Management Monitors and enforces service-level agreement timelines for investigations.		No information available

Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions.		Supports compliance monitoring for multiple jurisdictions (global banks among client references).
Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc).		Comes with pre-built out-of-the-box detection rules for major regulations.
Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs.		Regulatory frameworks are configurable; can be customized per client policies.
Retention Policy Management Implements and ensures compliance with data retention/archiving rules.		Retention and archiving policy management is marketed as a compliance control.
Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services.		Company states compliance with SOC2/ISO27001 and has GDPR-compliant deployments.
Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings.		System provides automated reporting for regulatory audits and filings.
Redaction Tools Redacts sensitive data in exported or shared communications.		Redaction tool capabilities are advertised for sensitive exports/sharing.
Supervisory Review Support Tools to monitor adherence to supervisory review processes.		Supervisory review support is a key workflow within large compliance deployments.
Legal Hold Management Supports the ability to preserve data for future litigation as required.		Legal hold management is described as part of the comprehensive case management suite.
Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines.		Breach notification support included for regulatory event workflow management.
Retention Period Length Maximum length for which data can be retained for compliance.		No information available

Cloud Deployment Supports hosting in public or private cloud environments.		Cloud deployment is available (NICE Actimize is a leader in cloud-based compliance).
On-premises Deployment Allows fully onsite installation and management.		Also supports on-premises deployment for clients with local hosting needs.
Hybrid Deployment Supports mixed cloud and on-premises configurations.		Hybrid deployment architecture is supported; cloud + on-prem for regulatory or performance uses.
Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users.		Elastic scalability (auto-scale) described for cloud deployments.
High Availability/Failover Built-in redundancy to minimize downtime and data loss.		High availability/failover configuration described in service materials.
Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform.		Multi-tenant support for managed services and hosting multiple business units.
Zero Downtime Upgrades Perform updates and upgrades without service interruption.		No information available
Deployment Time Typical time to deploy solution from contract signing.		No information available
System Uptime SLA Guaranteed system availability as specified in SLA.		No information available
Resource Monitoring Continuous monitoring of system resources and health.		Resource and health monitoring provided to ensure SLA delivery.
Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks.		No information available

Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all.		No information available
Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored.		Pricing can be based on usage—by volume/users/alerts—per RFPs and pricing docs.
Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees.		Cost estimator tools available via NICE or partner channels.
Transparent Billing Billing statements break down all charges by feature/use.		Billing breakdowns are provided as part of invoice support and customer service.
Trial or Pilot Options Offers low-risk pilots or trials before purchase.		Trial and pilot options are available, often for major enterprise clients.
Support Included in Base Price Customer support costs are included in base contract.		No information available
Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features.		No information available
Contract Duration Flexibility Variety of contract lengths available without penalties.		No information available
Discounts for Multi-year Commitments Offers reduced rates for longer agreements.		No information available
Predictable Annual Increases Stated percentage or cap on annual rate increases.		No information available

Data Ingestion Speed Rate at which new communication records can be ingested and indexed.		No information available
Storage Scalability Ability to handle growing volumes of communications data.		undefined Engineered for high-volume data; able to scale for large financial institutions.
Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc).		Offers extensive export options in multiple file formats for cases and investigations.
APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms.		APIs are documented for integration with other platforms (e.g., archiving, analytics, compliance).
SIEM Integration Connects to Security Information and Event Management systems.		References to SIEM integration capabilities present in technical documentation.
Third-party Data Source Integration Connects and correlates data from external vendors or sources.		System integrates data from third-party sources to enrich surveillance and case context.
Custom Data Connectors Enables creation of connectors for proprietary sources.		Custom connectors for proprietary/non-standard data sources are supported.
Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.).		Supports multiple databases (on-prem, cloud) per product architecture.
Search Performance Time to retrieve results for complex queries over stored communications.		No information available
Data De-duplication Removes duplicate messages to conserve storage and reduce noise.		Data de-duplication cited as a feature to improve data quality and reduce storage.
Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics.		Product features include metadata enrichment for communications and trade records.

Role-based Access Control (RBAC) Allows granular assignment of permissions based on role.		RBAC (role-based access control) is a foundational access management feature.
Single Sign-On (SSO) Supports integration with enterprise SSO solutions.		Advertised support for SSO across enterprise environments.
Multi-factor Authentication (MFA) Requires multi-factor authentication for access.		Supports multi-factor authentication (MFA) as a security best practice.
User Interface Customization Enables customization of UI elements and workflows.		UI customization options for dashboards and workflows are documented.
Search Functionality Advanced and intuitive search/filtering for investigators.		Advanced search features for investigators form a core usability benefit.
Bulk Actions Ability to perform actions on multiple records/cases simultaneously.		User guides describe features for bulk record handling and case management.
Localization User interface available in multiple languages.		No information available
Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities.		No information available
Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation.		No information available
Configurable User Roles System allows administrators to define custom roles.		Administrators can define custom and granular user roles, per configuration docs.
Audit Access Reporting Logs and reports on user activity and access history.		Audit access/logging for user activity is a compliance feature provided.

Encryption In-Transit All communications data is encrypted during transmission.		Encryption in-transit (TLS) implemented for all communications (data sheet).
Encryption At-Rest Stored data is encrypted to protect against unauthorized access.		Encryption at-rest using industry best practices and standards (solution brief).
Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications.		Data loss prevention offered for compliance, according to solution brochure.
Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity.		Addresses intrusion detection for the hosted/cloud deployments.
Regular Security Audits Periodic third-party or internal security assessments performed.		Regular internal and external security audits highlighted in compliance.
Granular Permission Controls Allows detailed definition of permissions at user or group level.		Granular user/group permission controls, as documented in admin guides.
Anomaly Detection Automated detection of unusual access or usage patterns.		Anomaly detection is part of the broader machine learning suite.
IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses.		IP whitelisting/blacklisting options available in security configuration.
Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure.		Disaster recovery and backup is a key assurance (see NICE documentation).
Security Patch Frequency Regular cadence for applying security patches and updates.		No information available
User Activity Monitoring Continuously tracks and logs all significant user actions.		User activity monitoring is a general requirement for compliance and present in the admin suite.

Custom Report Builder Allows creation of user-defined reports on all surveillance data.		Custom reporting tools are a feature for investigation and compliance users.
Scheduled Reporting Supports automated, recurring report generation and delivery.		Reports can be scheduled and automatically distributed.
Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits.		Comprehensive audit logging for compliance and regulatory audits.
Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests.		Audit extraction features facilitate responding to regulatory requests.
Export Formats Supported Number of different formats available for data export (PDF, CSV, etc).		No information available
Drill-down Analytics Ability to explore details of flagged incidents/cases/reports.		Drill-down analytics provided in UI for flagged case review.
Access Logging Tracks all readings and exports of records.		All document access/read/export is logged and reportable.
Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc).		Multiple delivery channels: dashboard, email, export, and APIs.
Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements.		Regulatory reconciliation is performed to ensure completeness/accuracy.
Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement.		Tracks alert status and outcome metrics for performance.
Reviewer Performance Reporting Reports on productivity and consistency of review teams.		Reviewer productivity and team reporting is present.

24/7 Customer Support Availability of round-the-clock technical assistance.		24/7 customer support offered as a premium service.
Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution.		SLAs for uptime and support are included in service contracts.
Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials.		Comprehensive user and admin documentation, as well as guides, are available.
Training/Onboarding Services Vendor provides training programs for customer teams.		Training and onboarding services available for clients.
Dedicated Account Manager Assignment of an account manager for ongoing relationship support.		Account manager assignment standard for enterprise packages.
Patch/Update Notification Alerts users to upcoming or recent system changes.		Patch/update notifications are included to keep administrators informed.
Named User Support Offers support for specific, named contacts at customer firms.		No information available
Bug Fix Response Time Average time to acknowledge and resolve critical bugs.		No information available
Customization Services Vendor can develop custom features according to client needs.		Customization for client-specific builds available according to NICE consulting.
Community/Forum Access Customers can share best practices and ask questions in a user community.		No information available

Actimize Trade Surveillance from NICE

Product analysis by function

Trade Surveillance Systems for Compliance

Core Surveillance Capabilities (12 Yes /12 Known /14 Possible features)

Market Abuse Detection (10 Yes /10 Known /10 Possible features)

Data Integration and Coverage (9 Yes /9 Known /9 Possible features)

Alert Management and Investigation Tools (10 Yes /10 Known /10 Possible features)

Reporting and Analytics (8 Yes /8 Known /9 Possible features)

Scalability and Performance (4 Yes /4 Known /8 Possible features)

Compliance Coverage and Regulatory Support (6 Yes /6 Known /6 Possible features)

User Access, Roles, and Security (7 Yes /7 Known /7 Possible features)

Configurability and Extensibility (5 Yes /5 Known /5 Possible features)

Machine Learning & Advanced Analytics (6 Yes /6 Known /6 Possible features)

Support, Training, and Vendor Services (6 Yes /6 Known /6 Possible features)

Electronic Communications Surveillance for Compliance

Communication Channel Coverage (0 Yes /0 Known /12 Possible features)

Detection and Analytics (9 Yes /9 Known /11 Possible features)

Alerting and Workflow (10 Yes /10 Known /11 Possible features)

Regulatory Compliance Support (10 Yes /10 Known /11 Possible features)

Data Management and Integration (9 Yes /9 Known /11 Possible features)

User Experience and Access Control (8 Yes /8 Known /11 Possible features)

Security (10 Yes /10 Known /11 Possible features)

Deployment and Scalability (7 Yes /7 Known /11 Possible features)

Reporting and Audit (10 Yes /10 Known /11 Possible features)

Vendor Support and Maintenance (7 Yes /7 Known /10 Possible features)

Cost Transparency and Commercials (4 Yes /4 Known /10 Possible features)