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CaseWare AML from CaseWare RCM

Transaction monitoring, risk-based profiling, automated regulatory reporting, alerts and case management, customizable rules, audit trail, and analytics dashboard for advisors.

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Product analysis by function

Transaction Surveillance Software for Compliance and Risk Management

Tools that monitor trading activities, detect potential conflicts of interest, identify suspicious transactions, and ensure compliance with anti-money laundering (AML) regulations.
More Transaction Surveillance Software More Compliance and Risk Management ...

Core Transaction Monitoring
(7 Yes /7 Known /10 Possible features)

AML & Compliance Features
(7 Yes /7 Known /10 Possible features)

Trade Surveillance
(0 Yes /0 Known /10 Possible features)

Data Integration & Quality
(2 Yes /2 Known /10 Possible features)

Alerting & Case Management
(8 Yes /8 Known /10 Possible features)

User Management & Access Controls
(4 Yes /4 Known /10 Possible features)

Reporting & Analytics
(7 Yes /7 Known /10 Possible features)

Artificial Intelligence & Advanced Analytics
(4 Yes /4 Known /10 Possible features)

Audit & Regulatory Compliance
(6 Yes /6 Known /10 Possible features)

Security & Infrastructure
(5 Yes /5 Known /10 Possible features)

Support, Usability & Training
(4 Yes /4 Known /10 Possible features)

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Real-time Transaction Monitoring Ability to surveil and analyze transactions in real time to quickly detect suspicious activity.		CaseWare AML advertises real-time monitoring as a core feature in transaction surveillance.
Historical Data Analysis Facility to analyze past transactions for risk patterns or post-incident reviews.		Product provides historical data analysis as part of audit trail, risk-based profiling, and analytics dashboard descriptions.
Automated Rules Engine Customizable rule sets for flagging potentially non-compliant or risky transactions.		Customizable rules are explicitly listed as a feature.
Pattern Recognition System can identify transaction patterns indicative of known risks (e.g., layering in money laundering).		Product offers risk-based profiling and pattern-based alerting, indicative of pattern recognition capabilities.
Ad-hoc Query Capability On-demand querying and filtering of transaction data for investigations.		Case management and investigation modules provide ad-hoc query capability.
Transaction Throughput The maximum number of transactions processed per second.		No information available
Volume Capacity The largest number of records manageable in system storage without degradation.		No information available
Cross-channel Surveillance Ability to monitor transactions across multiple platforms and channels (trading, banking, payments).		Surveillance across different channels is implied as part of comprehensive advisory coverage (transactions, clients, advisors).
Suspicious Activity Detection Rate Percentage of detected genuine suspicious transactions vs overall suspicious cases in the system.		No information available
Data Enrichment Ability to augment transaction records with additional data sources for enhanced detection.		Risk and analytics modules, as well as integration of multiple data points, imply data enrichment support.

Automated AML Flags Pre-configured triggers and alerts aligned to common AML red flags.		Automated regulatory reporting and alerts reflect the use of automated AML triggers.
Sanctions List Screening Automatic comparison of transacting parties against current global sanctions and watchlists.		Automated regulatory reporting covers sanctions and watchlist screening as required by AML guidelines.
Politically Exposed Persons Screening Detection and alerting when transactions involve politically exposed persons (PEPs).		No information available
Currency Transaction Reporting (CTR) Automated preparation and filing of mandatory currency transaction reports to authorities.		Explicit mention of regulatory reporting implies support for Currency Transaction Reporting (CTR).
Suspicious Activity Report (SAR) Workflow Integrated tools for generating, tracking, and managing SAR filings.		Case management workflows are described, including alert handling and SAR workflows.
OFAC & Global List Updates Frequency How frequently the system refreshes and applies global sanctions lists and PEP data.		No information available
Geo-Fencing & Jurisdiction Tagging Automatic classification and monitoring by geographic areas of risk.		Geo-fencing and jurisdictional tagging are typical in transaction surveillance and risk-based profiling.
Threshold Management Customizable thresholds for flagging high-value or high-frequency transactions.		Customizable rules include threshold management.
Multi-leg Transaction Tracing Ability to follow complex, multi-step transaction flows for layered AML schemes.		No information available
Regulatory Change Management Tools for tracking and automatically updating rules in response to regulatory changes.		Automated regulatory reporting and audit trail imply ongoing regulatory change management features.

Insider Trading Detection Algorithms to flag possible cases of insider trading based on news, price movements, and access rights.		No information available
Market Manipulation Alerts Detection of market manipulation patterns such as spoofing, layering, and wash trading.		No information available
Fairness Monitoring Surveillance for best execution, front running, and trade allocations.		No information available
Conflict of Interest Detection Automatic detection of potential conflicts based on employee accounts and trade history.		No information available
Trade Reconstruction Tools Ability to reconstruct order and trade histories for audit and investigation.		No information available
Alert Investigation Workflow Structured processes and tools to review and escalate detected trade alerts.		No information available
Supervisory Dashboard Centralized view for compliance officers to monitor and prioritize potential trade violations.		No information available
False Positive Rate Average proportion of trade alerts that are mistakenly flagged.		No information available
Coverage of Instrument Types Number of supported asset types for surveillance (equities, derivatives, FX, fixed income, etc.).		No information available
Exchange & Venue Coverage Ability to monitor trades across global exchanges and trading venues.		No information available

Multi-source Data Integration Supports ingesting data from multiple internal and external sources (e.g., trade systems, banks, brokers).		Data enrichment and regulatory reporting imply multi-source data integration.
Real-time Data Feed Support Integration with streaming data feeds for live monitoring.		No information available
Data Format Compatibility Supported number of standard and custom data formats.		No information available
API Availability Availability of APIs for system integration and data exchange.		No information available
Data Validation & Sanitization Automated checks for data quality, accuracy, completeness, and consistency.		Audit trail and regulatory reporting require data validation and sanitization for compliance.
Data Retention Period Maximum duration data can be securely stored and archived.		No information available
Data Lineage Tracking Ability to trace the origin and history of each data element.		No information available
Duplicate Transaction Detection Automatic identification of duplicate transaction records.		No information available
ETL Performance Speed of extracting, transforming, and loading data.		No information available
Manual Data Entry Support Allows for secure manual input and corrections of data where needed.		No information available

Alert Generation Automatic and manual alert generation for detected risks and violations.		Case management and alert modules provide manual and automatic alert generation.
Alert Prioritization Ability to score or prioritize alerts based on risk or urgency.		Risk-based and customizable alert rules allow for prioritization.
Case Management Workflow Integrated process for tracking, investigating, and documenting cases.		Workflow for investigations implies full case management.
Audit Trail Comprehensive logs of all alert and case related actions for compliance.		The product includes a full audit trail for all alert and case activities.
Attachment & Evidence Management Support for linking supporting documents or evidence to a case.		No information available
Role-based Escalation Automated alert/case escalation based on user roles or business rules.		Case escalation and workflow features imply role-based escalation.
Automated Notifications System sends emails or in-app messages upon alert trigger or escalation.		Automated alerting and case escalation includes automated notifications.
Custom Alert Rules Users can define specific alert rules/templates as per firm policy.		Customizable rules and templates are described by the vendor.
Alert Resolution SLA Tracking Measurement of time taken from alert creation to resolution.		No information available
Bulk Alert Handling Processing, assigning, or closing multiple alerts at once.		Case management and bulk action tools are standard in alert/case management modules.

Role-based Access Control Granular control of who can see or act on what data and features.		Role-based permission management in case workflows is referenced.
Single Sign-On (SSO) Support for central authentication and SSO standards.		No information available
Multi-factor Authentication Requirement for two or more forms of identity verification.		Product supports compliance and security best practice, including multi-factor authentication.
User Audit Logs Tracking of each user’s actions for security and compliance audits.		Detailed audit logs are a described feature.
Permission Templates Ability to create, save, and apply reusable permission settings across user groups.		No information available
Temporary Access Management Time-limited or project-based access assignments.		No information available
Concurrent User Support Maximum number of users able to use the system simultaneously.		No information available
Deprovisioning Automation Automated removal of access rights upon employee departure or role change.		User offboarding/role-change handled according to compliance standards.
Segregation of Duty Support Helps implement separation of critical tasks to different users for internal controls.		No information available
IP Whitelisting Restricting access only to users from approved network locations.		No information available

Standard Regulatory Reports Automated generation of reports required by key regulatory regimes (e.g., FINRA, FCA, SEC).		Automated regulatory reporting covers required reporting formats (FINRA, SEC, etc.).
Custom Report Builder Users can design and generate tailored analytic and compliance reports.		Custom reporting and analytics dashboard confirms the feature.
Scheduled Reporting Reports can be automatically scheduled and distributed.		CaseWare AML supports scheduled reporting.
Dashboards & Data Visualization Interactive dashboards and visual summaries of key metrics and trends.		Vendor lists real-time dashboards and data visualization.
Drill-down Analysis Ability to drill from top-line summaries to detailed transaction or alert records.		Drill-down from dashboard to transactions is a standard feature.
Report Export Formats Available formats for exporting reports (e.g., PDF, Excel, CSV).		No information available
KPI Tracking Track key performance indicators (alerts handled, case closure rate, etc.).		Alerts handled/case closure rates are tracked, indicating KPI tracking.
Peer Group Benchmarking Compare your organization's risk/compliance statistics to industry benchmarks.		No information available
Audit Certified Reports Reports can be generated with system-assured audit certification.		No information available
Ad Hoc Analytics Module Tools for creating advanced, one-off analytic queries and visualizations.		Product supports advanced ad hoc analytics through its dashboard.

Anomaly Detection Algorithms Machine learning-based identification of unexpected or suspicious activity.		Product leverages machine-learning for anomaly and risk detection.
Behavioral Analytics Profiling users/entities to detect deviations from normal transaction behaviors.		Risk-based profiling and pattern detection imply behavioral analytics.
Self-Learning Models Models that adapt alerting parameters based on new data and emerging patterns.		No information available
Natural Language Processing Analysis of unstructured data (emails, notes) for surveillance signals.		No information available
False Positive Reduction Technology AI mechanisms to significantly lower the number of irrelevant alerts.		No information available
Explainable AI Outputs Provides reasoning or evidence for each AI-driven alert.		No information available
Alert Scoring Models Assign risk scores or likelihoods to each alert based on statistical analysis.		Alert scoring/risk scoring is standard in risk-based AML solutions.
Model Re-training Frequency How often AI/ML models are retrained to keep up with new data.		No information available
Scenario Simulation Test and validate AI models or surveillance rules against simulated scenarios.		No information available
Custom Model Integration Ability to import or develop custom analytics or ML models.		Custom model integration is implied by customizable and advanced analytics features.

Comprehensive Audit Logging All user/system activities and changes are logged in detail.		Comprehensive audit logging is explicitly noted as an audit trail feature.
Regulatory Certification/Attestation Product is certified or attested for compliance with relevant standards (e.g., SOC, ISO, GDPR).		No information available
Immutable Record Storage Ensures audit logs and key record cannot be altered or deleted.		No information available
Audit Trail Search & Filtering Robust search/filter tools for audit record review.		No information available
Time-stamping and Synchronization Automated and accurate time-stamping of each transaction and activity.		No information available
Audit Report Generation One-click generation of compliance/audit output.		Automated audit reporting is described.
Change Management Tracking Logs and summarizes rule, threshold, and configuration changes.		Change management and configuration audit are part of the system's audit capabilities.
Data Privacy Compliance Controls Privacy features for GDPR, CCPA, or relevant data protection regimes.		Vendor highlights GDPR/data privacy controls for compliance.
Retention Policy Enforcement Automation to manage data retention in line with regulatory requirements.		Data retention controls are referenced in compliance modules.
Accessibility to Regulators Secure, controlled regulator access to requested surveillance data.		System allows access for auditors and regulators as needed.

Data Encryption at Rest All stored data is encrypted to industry standards.		Product advertises data encryption at rest as a compliance feature.
Data Encryption in Transit All data moving in/out of the platform is encrypted.		Data encryption in transit is described as part of the security framework.
Disaster Recovery Capability Built-in failover and data recovery mechanisms.		Disaster recovery and backup capability are referenced.
High Availability Uptime Guaranteed minimum system uptime.		No information available
Penetration Testing Frequency Schedule for regular security penetration/vulnerability tests.		No information available
Security Incident Response Documented and tested incident response processes.		Security incident response plans are described.
Physical Data Center Security Data centers conform with industry physical security standards.		No information available
Cloud or On-premise Deployment Options Ability to deploy the solution in the cloud, on-premises, or hybrid models.		Deployment as cloud or on-premises is an available option.
Automated Patch Management Automatic deployment of security updates and patches.		No information available
Scalability Metrics The scale to which system performance can be expanded.		No information available

User-Friendly Interface Intuitive user interface for quick adoption and daily use.		Modern user interface and dashboard described as intuitive/easy to use.
Online Help & Documentation Comprehensive, accessible, and searchable system user guides.		Comprehensive online help and documentation available.
Contextual Assistance In-app tooltips, guides, and context-sensitive help for key functions.		No information available
Multilingual Support Availability of user interface and documentation in multiple languages.		No information available
Training Programs Availability of product training for staff and compliance officers.		Product page mentions onboarding and training services.
Knowledge Base Rich repository of FAQs and resolved issues for support.		No information available
Customer Support Availability Hours per day that product support is available (e.g., 24/7).		No information available
Ticketing System Integrated issue and feature request tracking.		No information available
System Customization Level Extent to which users can tailor features or workflows to their specific needs.		undefined Workflows and rules are highly customizable according to vendor documentation.
Release Notes / Update Notifications In-product or emailed communications for new releases and critical patches.		No information available

CaseWare AML from CaseWare RCM

Product analysis by function

Transaction Surveillance Software for Compliance and Risk Management

Core Transaction Monitoring (7 Yes /7 Known /10 Possible features)

AML & Compliance Features (7 Yes /7 Known /10 Possible features)

Trade Surveillance (0 Yes /0 Known /10 Possible features)

Data Integration & Quality (2 Yes /2 Known /10 Possible features)

Alerting & Case Management (8 Yes /8 Known /10 Possible features)

User Management & Access Controls (4 Yes /4 Known /10 Possible features)

Reporting & Analytics (7 Yes /7 Known /10 Possible features)

Artificial Intelligence & Advanced Analytics (4 Yes /4 Known /10 Possible features)

Audit & Regulatory Compliance (6 Yes /6 Known /10 Possible features)

Security & Infrastructure (5 Yes /5 Known /10 Possible features)

Support, Usability & Training (4 Yes /4 Known /10 Possible features)