An integrated solution that combines surveillance for trading and communications with customer transaction monitoring to detect suspicious activities involving potential financial crime.
Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
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Email Monitoring Ability to capture and analyze email correspondence for compliance risks. |
The product covers 'communications surveillance', including email as a standard monitored channel according to FIS solution documentation. | |
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Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance. |
FIS Anti-Financial Crime monitors chat and instant messaging applications, including Bloomberg, Teams, and Slack, as indicated in product datasheets. | |
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Voice Surveillance Monitors recorded voice calls for keywords or risk indicators. |
Marketing materials and product briefings mention surveillance extends to voice channels and call analysis. | |
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Social Media Surveillance Captures relevant external and internal social media posts. |
FIS documentation lists social media as a supported channel in their communications surveillance offering. | |
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Mobile Device Coverage Ability to monitor communications across mobile devices. |
Coverage for mobile devices (including WhatsApp, WeChat, SMS) is mentioned in product technical flyers. | |
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Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms. |
SMS and direct text monitoring is supported, per public product descriptions. | |
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Application Support Number of distinct communication applications supported for monitoring. |
No information available | |
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Real-time Monitoring Capability Enables live or near-real-time capture and analysis of communication data. |
The solution emphasizes 'real-time' or near real-time monitoring of communications. | |
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Historic Data Import Supports ingestion of historic communication data for analysis. |
FIS supports importing and analyzing historical communications for retrospective reviews. | |
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Multilingual Coverage Ability to monitor and analyze communications in multiple languages. |
FIS mentions multilingual monitoring and analysis as a selling point, essential for global compliance. | |
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Attachment Analysis Analyzes file attachments for potential violations. |
Attachment and file analysis for policy violations is documented in technical briefs. | |
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Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels. |
Solution supports monitoring of encrypted channels like WhatsApp, based on solution overviews. |
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Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content. |
Keyword and customizable lexicon/phrase matching are foundational to FIS' communications monitoring engine. | |
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Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications. |
NLP techniques are used for context/sentiment/intent detection, a standard FIS feature. | |
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Behavioral Pattern Analysis Detects unusual user behavior or communication patterns. |
Behavioral analytics and anomaly detection of user activity patterns are described in solution capability statements. | |
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Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives. |
ML is referenced in reducing false positives and enhancing risk and policy detection. | |
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Risk Scoring Assigns risk scores to incidents/messages for prioritization. |
Automated risk scoring is a core feature, per product sheets and webinars. | |
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Custom Rule Creation Allows users to define and adapt detection rules. |
Custom rules engine is featured, allowing user-defined detection logic. | |
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False Positive Reduction Rate Capability of the system to decrease the rate of false positives. |
No information available | |
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Regulatory Lexicon Library Library of language and keywords for specific regulations (e.g., FINRA, SEC). |
Regulatory lexicon libraries (FINRA, SEC, etc) are maintained and used for detection. | |
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Sensitive Data Detection Flags personal, confidential or proprietary information. |
PII, confidential or sensitive data detection is stated as a compliance objective of the FIS system. | |
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Data Visualization Provides interactive graphics for incident trends, user activity, etc. |
Interactive dashboards and visualization for trends and reviews are part of the solution. | |
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Frequency of Analytics Updates How often analytics algorithms/models are updated to adapt to new threats. |
No information available |
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Real-time Alerting Immediate flagging and notification of detected risks or violations. |
Immediate alerting for incidents/violations is a standard system capability. | |
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Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts. |
Alert prioritization is possible via risk scoring/rule tiers, per screenshots and technical docs. | |
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Customizable Workflow Supports tailoring of review/investigation workflow steps. |
Workflow customization for alert handling/investigation is an advertised feature. | |
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Case Management Integration Enables creation and tracking of cases linked to alerts. |
Case/ticket management and linkage to alerts are built into the alerting workflow. | |
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Audit Trail Full logging of actions and changes for regulatory evidence. |
Comprehensive audit trails required for financial compliance are maintained. | |
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Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules. |
Automation of reviewer assignment for workflow queues is available. | |
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Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts. |
Filtering and suppression of low-priority or acknowledged alerts is supported. | |
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Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases. |
Escalation matrices based on user roles and incident nature are configurable. | |
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Reviewer Collaboration Tools Enables teams to work together on case investigations. |
In-app collaboration and notes allow for multi-user case handling. | |
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Notifications & Reminders Automated email or in-app reminders for outstanding cases. |
Automated notifications and reminders are part of the workflow engine. | |
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SLA Management Monitors and enforces service-level agreement timelines for investigations. |
SLA tracking and management are referenced for investigative tasks. |
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Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions. |
Multi-regulatory and jurisdictional support is highlighted as a competitive advantage for global brokers. | |
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Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc). |
Preconfigured rule packs and regulatory templates (FINRA, SEC, FCA, etc) are available. | |
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Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs. |
Custom regulatory frameworks and mapping are configurable. | |
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Retention Policy Management Implements and ensures compliance with data retention/archiving rules. |
Data retention and deletion policies configurable per jurisdiction are core to the platform. | |
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Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services. |
FIS holds and displays relevant certifications such as SOC 2 and/or ISO 27001 on its security statement page. | |
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Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings. |
Automated regulatory reporting is enabled for audit and filing purposes, as per compliance solution datasheet. | |
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Redaction Tools Redacts sensitive data in exported or shared communications. |
Redaction capability for reports and exports is standard in the compliance suite. | |
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Supervisory Review Support Tools to monitor adherence to supervisory review processes. |
Supervisory review and related dashboards are included for monitoring reviewer activity. | |
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Legal Hold Management Supports the ability to preserve data for future litigation as required. |
Legal hold/litigation hold for message preservation is described in technical notes. | |
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Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines. |
Breach notification features are referenced as part of regulatory reporting capabilities. | |
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Retention Period Length Maximum length for which data can be retained for compliance. |
No information available |
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Data Ingestion Speed Rate at which new communication records can be ingested and indexed. |
No information available | |
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Storage Scalability Ability to handle growing volumes of communications data. |
No information available | |
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Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc). |
Multiple data export formats (PDF, CSV, etc.) are explicitly mentioned. | |
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APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms. |
APIs for integration (with SIEM, archive, HR systems, etc.) are highlighted in product literature. | |
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SIEM Integration Connects to Security Information and Event Management systems. |
Integration with SIEM platforms (e.g., Splunk, IBM QRadar) is publicized in FIS collateral. | |
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Third-party Data Source Integration Connects and correlates data from external vendors or sources. |
Third-party data source integration (market surveillance feeds, news, etc.) documented in integration guides. | |
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Custom Data Connectors Enables creation of connectors for proprietary sources. |
Custom/proprietary connector development for unique sources is supported through APIs. | |
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Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.). |
Multiple database architectures (on-prem, cloud, hybrid) are supported. | |
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Search Performance Time to retrieve results for complex queries over stored communications. |
No information available | |
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Data De-duplication Removes duplicate messages to conserve storage and reduce noise. |
Deduplication to maintain efficient storage and analysis is referenced in product architecture discussions. | |
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Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics. |
Metadata enrichment for every record is described as a core analytics enabler. |
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Role-based Access Control (RBAC) Allows granular assignment of permissions based on role. |
Role-based access control is fundamental to FIS' compliance platform. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO solutions. |
SSO capabilities for enterprise integration are standard. | |
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Multi-factor Authentication (MFA) Requires multi-factor authentication for access. |
Support for multi-factor authentication is detailed in the security model. | |
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User Interface Customization Enables customization of UI elements and workflows. |
No information available | |
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Search Functionality Advanced and intuitive search/filtering for investigators. |
Advanced search and faceted filtering capabilities are shown in demo environments. | |
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Bulk Actions Ability to perform actions on multiple records/cases simultaneously. |
No information available | |
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Localization User interface available in multiple languages. |
FIS interface supports localization in multiple languages for global clients. | |
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Accessibility Compliance Meets accessibility standards (e.g., WCAG, ADA) for users with disabilities. |
No information available | |
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Number of Concurrent Users Supported Maximum number of users supported simultaneously without performance degradation. |
No information available | |
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Configurable User Roles System allows administrators to define custom roles. |
Custom user roles and permissions are configurable via the admin console. | |
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Audit Access Reporting Logs and reports on user activity and access history. |
User access and activity reporting can be generated for compliance purposes. |
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Encryption In-Transit All communications data is encrypted during transmission. |
In-transit encryption (TLS/SSL) is specified in security documentation. | |
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Encryption At-Rest Stored data is encrypted to protect against unauthorized access. |
Encryption of stored data (at rest) is detailed in security/architecture documentation. | |
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Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications. |
Data loss prevention controls are referenced as part of policy enforcement. | |
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Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity. |
Intrusion detection and monitoring tools are referenced within platform security details. | |
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Regular Security Audits Periodic third-party or internal security assessments performed. |
FIS states security audits as part of its industry compliance obligations. | |
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Granular Permission Controls Allows detailed definition of permissions at user or group level. |
Permissions can be assigned at granular levels to users and groups. | |
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Anomaly Detection Automated detection of unusual access or usage patterns. |
Anomaly detection for access/usage patterns is part of the ML and behavioral analytics. | |
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IP Whitelisting/Blacklisting Restricts or allows system access based on IP addresses. |
No information available | |
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Disaster Recovery/Backup Systems Ensures protection and recovery of data in case of system failure. |
Disaster recovery, high availability, and backup are covered in deployment options. | |
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Security Patch Frequency Regular cadence for applying security patches and updates. |
No information available | |
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User Activity Monitoring Continuously tracks and logs all significant user actions. |
Comprehensive user activity monitoring is standard for all compliance events. |
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Cloud Deployment Supports hosting in public or private cloud environments. |
Solution is available as a SaaS (cloud) option, per product overview. | |
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On-premises Deployment Allows fully onsite installation and management. |
On-premises deployment is explicitly offered for highly regulated clients. | |
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Hybrid Deployment Supports mixed cloud and on-premises configurations. |
Hybrid deployments are available by combining on-prem storage with cloud analytics. | |
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Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users. |
Scalability to handle increase/decrease in monitored users or data is emphasized. | |
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High Availability/Failover Built-in redundancy to minimize downtime and data loss. |
High availability/failover options are sold as part of enterprise offering. | |
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Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform. |
Multi-tenant architectures are available for managed service providers. | |
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Zero Downtime Upgrades Perform updates and upgrades without service interruption. |
No information available | |
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Deployment Time Typical time to deploy solution from contract signing. |
No information available | |
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System Uptime SLA Guaranteed system availability as specified in SLA. |
No information available | |
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Resource Monitoring Continuous monitoring of system resources and health. |
Ongoing system and resource monitoring/alerting is standard for enterprise product. | |
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Concurrent Process Handling Maximum number of concurrent data ingestion, processing or analytics tasks. |
No information available |
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Custom Report Builder Allows creation of user-defined reports on all surveillance data. |
Custom report builder for ad-hoc and regulatory reports referenced throughout the product information. | |
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Scheduled Reporting Supports automated, recurring report generation and delivery. |
Automated scheduled reporting is available and configurable. | |
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Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits. |
Comprehensive audit logging is a selling feature for regulated environments. | |
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Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests. |
Audit-focused data extraction tools are available. | |
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Export Formats Supported Number of different formats available for data export (PDF, CSV, etc). |
No information available | |
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Drill-down Analytics Ability to explore details of flagged incidents/cases/reports. |
Drill-down analytics are standard on incident/case review dashboards. | |
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Access Logging Tracks all readings and exports of records. |
Access logging for every action across the system is a standard compliance control. | |
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Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc). |
Multiple report delivery options, including dashboard, email, and API. | |
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Regulatory Reconciliation Verifies reporting completeness and accuracy against regulatory requirements. |
No information available | |
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Alert Disposition Metrics Tracks status/outcome of all alerts for performance measurement. |
Alert/workflow analytics/reporting is included for managerial review. | |
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Reviewer Performance Reporting Reports on productivity and consistency of review teams. |
Reviewer performance reporting is available and highlighted in feature set. |
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24/7 Customer Support Availability of round-the-clock technical assistance. |
24/7 support is referenced as part of FIS managed services. | |
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Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution. |
SLAs for uptime and support performance are publicly mentioned. | |
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Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials. |
Online documentation and knowledge base are provided via client portals. | |
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Training/Onboarding Services Vendor provides training programs for customer teams. |
Onboarding and product training are standard components of implementation. | |
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Dedicated Account Manager Assignment of an account manager for ongoing relationship support. |
Dedicated account manager for enterprise clients indicated in FIS service descriptions. | |
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Patch/Update Notification Alerts users to upcoming or recent system changes. |
Patch and upgrade notifications are distributed to all admin users by policy. | |
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Named User Support Offers support for specific, named contacts at customer firms. |
Support for named users/accounts is standard for enterprise platforms. | |
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Bug Fix Response Time Average time to acknowledge and resolve critical bugs. |
No information available | |
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Customization Services Vendor can develop custom features according to client needs. |
Professional services for custom features/requests are available to clients. | |
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Community/Forum Access Customers can share best practices and ask questions in a user community. |
Access to user communities/forums is mentioned in support documentation. |
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Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all. |
No information available | |
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Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored. |
No information available | |
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Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees. |
No information available | |
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Transparent Billing Billing statements break down all charges by feature/use. |
No information available | |
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Trial or Pilot Options Offers low-risk pilots or trials before purchase. |
FIS frequently offers pilots/trials as part of sales process for compliance solutions. | |
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Support Included in Base Price Customer support costs are included in base contract. |
No information available | |
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Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features. |
No information available | |
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Contract Duration Flexibility Variety of contract lengths available without penalties. |
No information available | |
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Discounts for Multi-year Commitments Offers reduced rates for longer agreements. |
No information available | |
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Predictable Annual Increases Stated percentage or cap on annual rate increases. |
No information available |
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