Offers comprehensive monitoring of electronic communications across email, chat, voice, and social media. Leverages AI and advanced analytics to detect market abuse, insider trading, and regulatory violations. Integrates with case management tools for efficient investigations.
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. |
NICE Actimize advertises comprehensive email monitoring for regulatory compliance. | |
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Instant Messaging/Chat Monitoring Captures messages from chat platforms (e.g., Bloomberg, Teams, Slack) for surveillance. |
Product overview confirms chat/instant messaging monitoring (Teams, Slack and others). | |
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Voice Surveillance Monitors recorded voice calls for keywords or risk indicators. |
Voice surveillance is specifically mentioned for risk and regulatory monitoring. | |
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Social Media Surveillance Captures relevant external and internal social media posts. |
Surveillance of social media posts is described in product’s coverage features. | |
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Mobile Device Coverage Ability to monitor communications across mobile devices. |
Product supports mobile device communication surveillance. | |
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Text Message (SMS) Monitoring Surveillance of SMS and other direct messaging platforms. |
SMS/text monitoring is listed under supported communication channels. | |
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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. |
Brochure states real-time and near-real-time communication capture and analysis. | |
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Historic Data Import Supports ingestion of historic communication data for analysis. |
Import and analysis of historic data is an advertised core functionality. | |
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Multilingual Coverage Ability to monitor and analyze communications in multiple languages. |
Multilingual analytics and monitoring capabilities are referenced. | |
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Attachment Analysis Analyzes file attachments for potential violations. |
Attachment/file analysis is referenced in product technical documentation. | |
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Encrypted Channel Monitoring Captures and analyzes messages from encrypted channels. |
Monitors encrypted channels (such as WhatsApp, Signal). |
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Keyword/Keyphrase Detection Pre-defined and customizable word lists to flag suspicious content. |
Customizable keyword/keyphrase detection is central to detection engine. | |
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Natural Language Processing (NLP) Uses NLP to detect intent, sentiment, or context in communications. |
AI/ML and NLP techniques are explicitly cited as underpinning analytics. | |
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Behavioral Pattern Analysis Detects unusual user behavior or communication patterns. |
Behavioral pattern analysis described as part of analytics suite. | |
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Machine Learning (ML) Algorithms Leverages ML to enhance detection accuracy and reduce false positives. |
Machine learning is a core differentiator in their detection and alert platform. | |
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Risk Scoring Assigns risk scores to incidents/messages for prioritization. |
Risk scoring for prioritized alerts is explicitly described. | |
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Custom Rule Creation Allows users to define and adapt detection rules. |
Custom rule creation for detection logic is highlighted in documentation. | |
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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). |
Comes with regulatory lexicons (FINRA, SEC, etc.), as described in marketing material. | |
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Sensitive Data Detection Flags personal, confidential or proprietary information. |
Sensitive data detection/flagging described under compliance features. | |
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Data Visualization Provides interactive graphics for incident trends, user activity, etc. |
Interactive dashboards and visualization of case and risk data. | |
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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. |
Product emphasizes real-time risk alerting as a core functionality. | |
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Alert Prioritization System assigns levels (e.g., high/medium/low) to alerts. |
System offers configurable alert prioritization. | |
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Customizable Workflow Supports tailoring of review/investigation workflow steps. |
Workflow customization tools are available for investigative processes. | |
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Case Management Integration Enables creation and tracking of cases linked to alerts. |
The solution integrates with case management and supports end-to-end tracking. | |
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Audit Trail Full logging of actions and changes for regulatory evidence. |
Audit trails are recorded to meet regulatory requirements. | |
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Reviewer Assignment Automation Automatically assigns alerts or cases to reviewers based on rules. |
Automated reviewer assignment mentioned in several case study/solution briefs. | |
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Alert Suppression/Filtering Ability to filter or suppress false/low-priority alerts. |
Filtering/suppression for low-priority alerts is a supported function. | |
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Escalation Protocols Configurable escalation rules and hierarchies for unresolved cases. |
Includes configurable escalation/hierarchy protocols. | |
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Reviewer Collaboration Tools Enables teams to work together on case investigations. |
Collaboration tools for case review included (multi-reviewer support). | |
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Notifications & Reminders Automated email or in-app reminders for outstanding cases. |
Automated reminders/notifications are listed in workflow features. | |
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SLA Management Monitors and enforces service-level agreement timelines for investigations. |
No information available |
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Multi-jurisdictional Rules Support Addresses regulatory requirements in multiple global jurisdictions. |
Global/regional regulation support referenced for multi-jurisdictional operation. | |
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Pre-built Compliance Rules Comes with out-of-the-box detection rules for major regulatory bodies (FINRA, SEC, FCA, etc). |
Out-of-the-box regulatory (FINRA/SEC/FCA) rules included. | |
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Configurable Regulatory Frameworks Allows mapping and customization for firm-specific compliance programs. |
Enables mapping/customization of compliance frameworks per firm. | |
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Retention Policy Management Implements and ensures compliance with data retention/archiving rules. |
Retention/archiving policy controls are included for regulatory standards. | |
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Compliance Certifications Holds certifications (e.g., SOC 2, ISO 27001, GDPR) relevant to financial services. |
Holds SOC 2, ISO 27001, GDPR relevant certifications as published online. | |
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Automated Regulatory Reporting Creates and exports reports necessary for regulatory audits or filings. |
Regulatory reporting/export (automated reports for audits) is a feature. | |
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Redaction Tools Redacts sensitive data in exported or shared communications. |
No information available | |
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Supervisory Review Support Tools to monitor adherence to supervisory review processes. |
Supports supervisory review — monitoring processes are configurable. | |
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Legal Hold Management Supports the ability to preserve data for future litigation as required. |
Legal hold support (for litigation) is documented. | |
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Breach Notification Support Helps organizations notify affected parties of regulatory breaches within mandated timelines. |
No information available | |
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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. |
undefined Advertised as highly scalable for large enterprise/brokerage data volumes. |
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Export Options Support for exporting surveillance data in multiple formats (PDF, CSV, etc). |
Export options to PDF, CSV and other formats outlined in resources. | |
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APIs for Integration Availability of APIs to integrate with other surveillance, archiving, or analytics platforms. |
APIs for integration into surveillance, archiving, and analytics systems. | |
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SIEM Integration Connects to Security Information and Event Management systems. |
SIEM integration supported for enterprise security workflows. | |
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Third-party Data Source Integration Connects and correlates data from external vendors or sources. |
Integrates with external/third-party data and content sources. | |
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Custom Data Connectors Enables creation of connectors for proprietary sources. |
Custom data connectors development available as professional service. | |
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Database Support Supports multiple types of databases (SQL, NoSQL, cloud-based, etc.). |
Multi-database support (SQL, cloud) mentioned in product documentation. | |
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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. |
De-duplication mentioned as feature for efficient storage and analytics. | |
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Metadata Enrichment Adds useful metadata (e.g. sender, recipient, channel, time) for search and analytics. |
Metadata enrichment for sender/recipient/channel added to records. |
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Role-based Access Control (RBAC) Allows granular assignment of permissions based on role. |
Role-based access controls configurable by administrators. | |
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Single Sign-On (SSO) Supports integration with enterprise SSO solutions. |
Supports Single Sign-On with enterprise authentication systems. | |
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Multi-factor Authentication (MFA) Requires multi-factor authentication for access. |
Multi-factor authentication supported for secure access. | |
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User Interface Customization Enables customization of UI elements and workflows. |
UI/workflow customization available according to solution briefs. | |
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Search Functionality Advanced and intuitive search/filtering for investigators. |
Advanced search and filtering for investigators is a highlighted capability. | |
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Bulk Actions Ability to perform actions on multiple records/cases simultaneously. |
Bulk processing and record/case actions supported in UI. | |
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Localization User interface available in multiple languages. |
UI supports localization/multiple languages for international deployments. | |
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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 definable in admin section. | |
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Audit Access Reporting Logs and reports on user activity and access history. |
Audit reporting of user access/activity available. |
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Encryption In-Transit All communications data is encrypted during transmission. |
Data encrypted in transit using industry standards. | |
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Encryption At-Rest Stored data is encrypted to protect against unauthorized access. |
Data encrypted at rest, as outlined in security documentation. | |
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Data Loss Prevention (DLP) Prevents unauthorized sharing or downloading of sensitive communications. |
Data Loss Prevention mechanisms described within product literature. | |
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Intrusion Detection Monitors the system for unauthorized access attempts or suspicious activity. |
Intrusion detection and monitoring is supported. | |
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Regular Security Audits Periodic third-party or internal security assessments performed. |
Conducts regular internal and external security audits. | |
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Granular Permission Controls Allows detailed definition of permissions at user or group level. |
Granular permission controls are cited in administrative documentation. | |
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Anomaly Detection Automated detection of unusual access or usage patterns. |
Anomaly detection for user/system behavior is highlighted feature. | |
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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 and backup protocols are in place for data protection. | |
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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. |
User activity monitoring is included for security and compliance oversight. |
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Cloud Deployment Supports hosting in public or private cloud environments. |
Cloud deployment in major clouds (AWS, Azure, Google) is supported. | |
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On-premises Deployment Allows fully onsite installation and management. |
On-premises deployment available for regulated institutions. | |
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Hybrid Deployment Supports mixed cloud and on-premises configurations. |
Hybrid deployment architectures are available on request. | |
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Elastic Scalability Capacity to scale up/down seamlessly with changes in data volume or users. |
Elastic scalability is emphasized—can scale up/down with customer needs. | |
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High Availability/Failover Built-in redundancy to minimize downtime and data loss. |
High availability and failover mechanisms described for mission-critical uptime. | |
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Multi-tenant Support Ability to support multiple independent business units or organizations on a single platform. |
Multi-tenant support for large institutions/multiple BUs. | |
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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. |
Resource/system monitoring is available in admin console. | |
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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 flexible reporting/analytics included. | |
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Scheduled Reporting Supports automated, recurring report generation and delivery. |
Automated/scheduled reporting mentioned as standard feature. | |
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Comprehensive Audit Logging Logs all actions/events for forensic and compliance audits. |
Comprehensive audit logging is described for compliance and forensics. | |
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Data Extraction for Audits Enables data extraction tailored to regulatory or internal audit requests. |
Data extraction tailored for audit/compliance requests is supported. | |
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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 into incidents and cases available for investigators. | |
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Access Logging Tracks all readings and exports of records. |
Access logging (reads/exports) included in security and audit reports. | |
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Report Delivery Channels Multiple ways to send/deliver reports (email, dashboard, API, etc). |
Reports can be delivered by email, dashboard, and APIs. | |
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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. |
No information available | |
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Reviewer Performance Reporting Reports on productivity and consistency of review teams. |
No information available |
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24/7 Customer Support Availability of round-the-clock technical assistance. |
24/7 customer support advertised on NICE Actimize website. | |
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Service Level Agreements (SLA) Well-defined SLAs for uptime, response, and issue resolution. |
SLAs for uptime/response are detailed in sales and support collateral. | |
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Knowledge Base/Documentation Comprehensive online guides and troubleshooting materials. |
Extensive documentation and knowledge base available. | |
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Training/Onboarding Services Vendor provides training programs for customer teams. |
Vendor-provided onboarding, training, enablement programs. | |
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Dedicated Account Manager Assignment of an account manager for ongoing relationship support. |
Dedicated account managers are part of service model. | |
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Patch/Update Notification Alerts users to upcoming or recent system changes. |
System updates and patch notifications are available for all customers. | |
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Named User Support Offers support for specific, named contacts at customer firms. |
No information available | |
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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. |
Customization services (tailored deployment, integrations) are offered. | |
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Community/Forum Access Customers can share best practices and ask questions in a user community. |
Online community and discussion forums accessible to customers. |
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Modular Pricing Allows purchase of individual feature sets rather than one-size-fits-all. |
Modular pricing (by features/channels) mentioned in commercial negotiation. | |
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Capacity-based Pricing Pricing scales with data volume, users, or alerts monitored. |
Capacity-based pricing models available (scales by user/data volume). | |
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Total Cost of Ownership Estimator Provides tools to estimate annual costs including all fees. |
TCO and pricing estimators used during pre-sales process. | |
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Transparent Billing Billing statements break down all charges by feature/use. |
Invoice transparency (by feature/use) afforded in billing. | |
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Trial or Pilot Options Offers low-risk pilots or trials before purchase. |
Trial and pilot environments offered prior to contract. | |
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Support Included in Base Price Customer support costs are included in base contract. |
Standard customer support included in base subscription price. | |
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Upgrade Fees Policy Clear disclosure/structure of fees for upgrades or new features. |
Upgrade fee schedules published in sales documentation. | |
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Contract Duration Flexibility Variety of contract lengths available without penalties. |
Flexible contract duration and renewal options available. | |
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Discounts for Multi-year Commitments Offers reduced rates for longer agreements. |
Discounts for multi-year commitments noted in pricing guides. | |
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Predictable Annual Increases Stated percentage or cap on annual rate increases. |
No information available |
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