Provides robust transaction monitoring capabilities with real-time analysis, customizable rules, and integrated case management to identify and prevent potential financial crimes.
Tools that monitor trading activities, detect potential conflicts of interest, identify suspicious transactions, and ensure compliance with anti-money laundering (AML) regulations.
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Real-time Transaction Monitoring Ability to surveil and analyze transactions in real time to quickly detect suspicious activity. |
Official product description and Actimize documentation confirm real-time transaction monitoring capabilities. | |
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Historical Data Analysis Facility to analyze past transactions for risk patterns or post-incident reviews. |
Actimize supports historical data analysis for investigations and post-incident review, as highlighted in product overviews and use cases. | |
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Automated Rules Engine Customizable rule sets for flagging potentially non-compliant or risky transactions. |
Customizable automated rules engine is a core feature for NICE Actimize, supporting complex AML and fraud scenarios. | |
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Pattern Recognition System can identify transaction patterns indicative of known risks (e.g., layering in money laundering). |
Pattern recognition is explicitly marketed in Actimize collateral for AML detection (e.g., layering in money laundering). | |
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Ad-hoc Query Capability On-demand querying and filtering of transaction data for investigations. |
Supports ad-hoc query capabilities for transaction investigations, confirmed in product presentations and documentation. | |
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Transaction Throughput The maximum number of transactions processed per second. |
No information available | |
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Volume Capacity The largest number of records manageable in system storage without degradation. |
No information available | |
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Cross-channel Surveillance Ability to monitor transactions across multiple platforms and channels (trading, banking, payments). |
Cross-channel surveillance is supported as Actimize markets its ability to monitor banking, trading, and payments on a unified platform. | |
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Suspicious Activity Detection Rate Percentage of detected genuine suspicious transactions vs overall suspicious cases in the system. |
No information available | |
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Data Enrichment Ability to augment transaction records with additional data sources for enhanced detection. |
Provides data enrichment via integration with external sources and internal data enhancements. |
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Automated AML Flags Pre-configured triggers and alerts aligned to common AML red flags. |
Automated AML flags are a core feature as advertised in AML transaction monitoring materials for NICE Actimize. | |
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Sanctions List Screening Automatic comparison of transacting parties against current global sanctions and watchlists. |
Sanctions list screening is specifically referenced by Actimize for AML and compliance enforcement. | |
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Politically Exposed Persons Screening Detection and alerting when transactions involve politically exposed persons (PEPs). |
PEP (Politically Exposed Person) screening is a native component in NICE Actimize compliance modules. | |
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Currency Transaction Reporting (CTR) Automated preparation and filing of mandatory currency transaction reports to authorities. |
Currency transaction reporting is included as part of regulatory compliance functionality per Actimize documentation. | |
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Suspicious Activity Report (SAR) Workflow Integrated tools for generating, tracking, and managing SAR filings. |
SAR workflow management is integrated into the Actimize case management system. | |
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OFAC & Global List Updates Frequency How frequently the system refreshes and applies global sanctions lists and PEP data. |
No information available | |
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Geo-Fencing & Jurisdiction Tagging Automatic classification and monitoring by geographic areas of risk. |
Geo-fencing and jurisdictional risk tagging are promoted for managing geographic compliance risks. | |
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Threshold Management Customizable thresholds for flagging high-value or high-frequency transactions. |
Threshold management is a configurable feature for defining alert-triggering criteria. | |
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Multi-leg Transaction Tracing Ability to follow complex, multi-step transaction flows for layered AML schemes. |
Multi-leg transaction tracing is supported for complex AML patterns (layering, structuring, etc.). | |
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Regulatory Change Management Tools for tracking and automatically updating rules in response to regulatory changes. |
Regulatory change management is addressed through configurable rule and policy updates in Actimize. |
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Insider Trading Detection Algorithms to flag possible cases of insider trading based on news, price movements, and access rights. |
No information available | |
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Market Manipulation Alerts Detection of market manipulation patterns such as spoofing, layering, and wash trading. |
No information available | |
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Fairness Monitoring Surveillance for best execution, front running, and trade allocations. |
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Conflict of Interest Detection Automatic detection of potential conflicts based on employee accounts and trade history. |
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Trade Reconstruction Tools Ability to reconstruct order and trade histories for audit and investigation. |
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Alert Investigation Workflow Structured processes and tools to review and escalate detected trade alerts. |
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Supervisory Dashboard Centralized view for compliance officers to monitor and prioritize potential trade violations. |
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False Positive Rate Average proportion of trade alerts that are mistakenly flagged. |
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Coverage of Instrument Types Number of supported asset types for surveillance (equities, derivatives, FX, fixed income, etc.). |
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Exchange & Venue Coverage Ability to monitor trades across global exchanges and trading venues. |
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Multi-source Data Integration Supports ingesting data from multiple internal and external sources (e.g., trade systems, banks, brokers). |
Multi-source (internal/external) data integration is frequently promoted as a core technology strength of Actimize. | |
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Real-time Data Feed Support Integration with streaming data feeds for live monitoring. |
Real-time data feed support is part of Actimize's real-time surveillance/intelligence claims. | |
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Data Format Compatibility Supported number of standard and custom data formats. |
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API Availability Availability of APIs for system integration and data exchange. |
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Data Validation & Sanitization Automated checks for data quality, accuracy, completeness, and consistency. |
Actimize includes automated data validation and cleansing according to official technical documentation. | |
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Data Retention Period Maximum duration data can be securely stored and archived. |
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Data Lineage Tracking Ability to trace the origin and history of each data element. |
Actimize supports data lineage tracking to comply with audit/regulatory standards. | |
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Duplicate Transaction Detection Automatic identification of duplicate transaction records. |
Duplicate transaction detection is included to improve data quality and reduce false positives. | |
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ETL Performance Speed of extracting, transforming, and loading data. |
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Manual Data Entry Support Allows for secure manual input and corrections of data where needed. |
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Alert Generation Automatic and manual alert generation for detected risks and violations. |
Automatic and manual alert generation is integral to Actimize transaction monitoring workflows. | |
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Alert Prioritization Ability to score or prioritize alerts based on risk or urgency. |
Alert prioritization (risk, urgency) comes standard in Actimize’s alert management features. | |
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Case Management Workflow Integrated process for tracking, investigating, and documenting cases. |
Integrated case management workflow is specifically highlighted in all Actimize transaction monitoring literature. | |
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Audit Trail Comprehensive logs of all alert and case related actions for compliance. |
Comprehensive audit trails are maintained by the platform for compliance purposes. | |
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Attachment & Evidence Management Support for linking supporting documents or evidence to a case. |
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Role-based Escalation Automated alert/case escalation based on user roles or business rules. |
Attachment and evidence management within alerts/cases is part of Actimize’s compliance workflow. | |
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Automated Notifications System sends emails or in-app messages upon alert trigger or escalation. |
Automated notifications are available as part of the Actimize alerting system. | |
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Custom Alert Rules Users can define specific alert rules/templates as per firm policy. |
Users can define specific alert policies and custom rules in the platform. | |
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Alert Resolution SLA Tracking Measurement of time taken from alert creation to resolution. |
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Bulk Alert Handling Processing, assigning, or closing multiple alerts at once. |
Bulk alert handling tools are in the case/alert management component, supporting high-volume operations. |
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Role-based Access Control Granular control of who can see or act on what data and features. |
Role-based access control is a standard access control mechanism in Actimize for user management. | |
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Single Sign-On (SSO) Support for central authentication and SSO standards. |
Single Sign-On (SSO) integration is offered to enterprise clients. | |
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Multi-factor Authentication Requirement for two or more forms of identity verification. |
Multi-factor authentication is available as a security control option. | |
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User Audit Logs Tracking of each user’s actions for security and compliance audits. |
User audit logging is maintained for compliance. | |
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Permission Templates Ability to create, save, and apply reusable permission settings across user groups. |
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Temporary Access Management Time-limited or project-based access assignments. |
Temporary/project-based access can be managed, as referenced in user management documentation. | |
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Concurrent User Support Maximum number of users able to use the system simultaneously. |
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Deprovisioning Automation Automated removal of access rights upon employee departure or role change. |
Deprovisioning automation is supported for regulatory compliance and employee offboarding. | |
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Segregation of Duty Support Helps implement separation of critical tasks to different users for internal controls. |
Segregation of duties is promoted as a feature for compliance controls. | |
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IP Whitelisting Restricting access only to users from approved network locations. |
IP whitelisting is configurable for network access control policies. |
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Standard Regulatory Reports Automated generation of reports required by key regulatory regimes (e.g., FINRA, FCA, SEC). |
Standard regulatory reports for regimes such as FINRA, FCA, and global AML are included. | |
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Custom Report Builder Users can design and generate tailored analytic and compliance reports. |
Custom report builder is mentioned in analytics and reporting module overviews. | |
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Scheduled Reporting Reports can be automatically scheduled and distributed. |
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Dashboards & Data Visualization Interactive dashboards and visual summaries of key metrics and trends. |
Interactive dashboards and visualization are available as part of the reporting and analytics suite. | |
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Drill-down Analysis Ability to drill from top-line summaries to detailed transaction or alert records. |
Drill-down capability is a standard feature for analysis modules in Actimize. | |
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Report Export Formats Available formats for exporting reports (e.g., PDF, Excel, CSV). |
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KPI Tracking Track key performance indicators (alerts handled, case closure rate, etc.). |
KPI tracking for compliance and operational metrics is included. | |
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Peer Group Benchmarking Compare your organization's risk/compliance statistics to industry benchmarks. |
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Audit Certified Reports Reports can be generated with system-assured audit certification. |
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Ad Hoc Analytics Module Tools for creating advanced, one-off analytic queries and visualizations. |
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Anomaly Detection Algorithms Machine learning-based identification of unexpected or suspicious activity. |
Anomaly detection (machine learning/AI-powered) is part of Actimize’s advanced analytics. | |
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Behavioral Analytics Profiling users/entities to detect deviations from normal transaction behaviors. |
Behavioral analytics are advertised for entity and user profiling in transaction monitoring. | |
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Self-Learning Models Models that adapt alerting parameters based on new data and emerging patterns. |
. | No information available |
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Natural Language Processing Analysis of unstructured data (emails, notes) for surveillance signals. |
Natural language processing is listed as a capability for analyzing unstructured data in compliance workflows. | |
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False Positive Reduction Technology AI mechanisms to significantly lower the number of irrelevant alerts. |
AI-based false positive reduction is a selling point and cited in use case materials. | |
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Explainable AI Outputs Provides reasoning or evidence for each AI-driven alert. |
Explainable AI output is referenced as a competitive differentiator in Actimize's AI modules. | |
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Alert Scoring Models Assign risk scores or likelihoods to each alert based on statistical analysis. |
Alert scoring models are part of Actimize’s AI risk assessment. | |
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Model Re-training Frequency How often AI/ML models are retrained to keep up with new data. |
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Scenario Simulation Test and validate AI models or surveillance rules against simulated scenarios. |
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Custom Model Integration Ability to import or develop custom analytics or ML models. |
Custom ML model integration is available via Actimize X-Sight and open API. |
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Comprehensive Audit Logging All user/system activities and changes are logged in detail. |
Comprehensive audit logging for every user/system action is part of regulatory compliance. | |
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Regulatory Certification/Attestation Product is certified or attested for compliance with relevant standards (e.g., SOC, ISO, GDPR). |
NICE Actimize holds industry certifications such as ISO and SOC 2 for regulatory attestation. | |
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Immutable Record Storage Ensures audit logs and key record cannot be altered or deleted. |
Immutable record storage is a feature designed for audit purposes. | |
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Audit Trail Search & Filtering Robust search/filter tools for audit record review. |
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Time-stamping and Synchronization Automated and accurate time-stamping of each transaction and activity. |
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Audit Report Generation One-click generation of compliance/audit output. |
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Change Management Tracking Logs and summarizes rule, threshold, and configuration changes. |
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Data Privacy Compliance Controls Privacy features for GDPR, CCPA, or relevant data protection regimes. |
Data privacy (GDPR/CCPA) compliance is a stated commitment for NICE Actimize. | |
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Retention Policy Enforcement Automation to manage data retention in line with regulatory requirements. |
Regulatory data retention enforcement is available as an automated policy feature. | |
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Accessibility to Regulators Secure, controlled regulator access to requested surveillance data. |
Actimize allows secure and controlled access for regulators, as required by financial regulations. |
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Data Encryption at Rest All stored data is encrypted to industry standards. |
All data is encrypted at rest to industry standards, cited in technical specs and compliance documents. | |
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Data Encryption in Transit All data moving in/out of the platform is encrypted. |
Data encryption in transit using secure protocols is a standard security feature. | |
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Disaster Recovery Capability Built-in failover and data recovery mechanisms. |
Disaster recovery is addressed as part of the operational assurance program in NICE Actimize. | |
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High Availability Uptime Guaranteed minimum system uptime. |
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Penetration Testing Frequency Schedule for regular security penetration/vulnerability tests. |
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Security Incident Response Documented and tested incident response processes. |
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Physical Data Center Security Data centers conform with industry physical security standards. |
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Cloud or On-premise Deployment Options Ability to deploy the solution in the cloud, on-premises, or hybrid models. |
Supports both cloud and on-premise deployments; customers can choose as per policy. | |
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Automated Patch Management Automatic deployment of security updates and patches. |
Automated patch management is supported to ensure platform security. | |
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Scalability Metrics The scale to which system performance can be expanded. |
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User-Friendly Interface Intuitive user interface for quick adoption and daily use. |
Actimize emphasizes a user-friendly interface for compliance users in product literature. | |
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Online Help & Documentation Comprehensive, accessible, and searchable system user guides. |
Online help, guides, and documentation are available for Actimize products. | |
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Contextual Assistance In-app tooltips, guides, and context-sensitive help for key functions. |
Contextual assistance (e.g., tooltips, in-app help) is provided in the platform. | |
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Multilingual Support Availability of user interface and documentation in multiple languages. |
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Training Programs Availability of product training for staff and compliance officers. |
Training programs are offered for clients and users. | |
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Knowledge Base Rich repository of FAQs and resolved issues for support. |
A knowledge base with FAQs and technical support is available for users. | |
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Customer Support Availability Hours per day that product support is available (e.g., 24/7). |
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Ticketing System Integrated issue and feature request tracking. |
Actimize has a customer support ticketing system for feature requests and problem resolution. | |
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System Customization Level Extent to which users can tailor features or workflows to their specific needs. |
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Release Notes / Update Notifications In-product or emailed communications for new releases and critical patches. |
Release notes and update notifications are regularly provided to customers. |
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