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Shield Platform from Shield
End-to-end communication compliance platform designed for financial institutions including fund managers. Features include AI-powered monitoring across all communication channels, proactive risk detection, contextual analysis, advanced search capabilities, and integrated case management for investigations.
Product analysis by function
Secure Communication Monitoring for Risk & Compliance
Systems that capture, archive, and monitor electronic communications including email, chat, and voice to ensure compliance with recordkeeping requirements and prevent inappropriate communications.
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Data Security
(0 Yes /0 Known /15 Possible features)
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End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties. |
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Data at Rest Encryption Protects stored data from unauthorized access using encryption. |
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Transport Layer Security (TLS) Utilizes TLS protocols for secure communications. |
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Key Management Robust system for managing encryption keys, including rotation and revocation policies. |
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Data Masking Ability to mask sensitive data to prevent unauthorized disclosure. |
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Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access. |
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Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse. |
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Audit Logging Maintains secure logs of all actions and changes for audit trail. |
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Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration. |
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Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance. |
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Multi-Factor Authentication Requires multiple forms of authentication for system access. |
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Intrusion Detection Monitors data environments for signs of intrusion or compromise. |
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Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2. |
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Security Patch Management Ensures prompt deployment of security updates and patches. |
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Granular Access Controls Fine-grained user and role-based access permissions. |
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Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)
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Email Monitoring Can capture and analyze email communications from various providers. |
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Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp. |
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Voice Communication Monitoring Records and analyzes voice calls for compliance. |
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Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook. |
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SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS. |
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Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms. |
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Mobile Device Integration Ability to monitor communications on mobile platforms. |
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Multi-Language Support Understands and processes communications in multiple languages. |
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Cloud App Integration Integrates with SaaS communication tools. |
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Real-time Data Capture Ability to monitor and capture communications in real time. |
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Legacy System Integration Compatibility with on-premise and older systems. |
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Custom Channel Support Option to configure and monitor bespoke channels. |
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Regulatory Compliance
(0 Yes /0 Known /10 Possible features)
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MiFID II Compliance Ensures monitoring features enable compliance with MiFID II. |
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SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements. |
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GDPR Support Facilitates privacy and data protection under the European GDPR. |
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Retention Policy Management Configurable message retention periods for regulatory requirements. |
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Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators. |
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Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices. |
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Exportable Audit Trails Easily exportable, immutable logs to share with regulators. |
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Data Sovereignty Controls Ensures data remains within legally required geographic boundaries. |
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Certification Documentation Provides compliance certificates and documentation support. |
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Workflow for Legal Hold Supports litigation hold requirements on communication records. |
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Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)
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Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms. |
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Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection. |
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Natural Language Processing (NLP) Uses NLP to understand context and intent in communications. |
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Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations. |
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Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact. |
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Insider Threat Detection Flags activities indicative of insider threats or compliance breaches. |
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Automated Alert Generation Automatically generates alerts for high-risk communications. |
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False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives. |
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Rule-Based Monitoring Flexible creation of rules and scenarios for detection. |
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Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors. |
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Volume of Communications Processed Maximum amount of data/messages processed per day. |
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Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)
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Case Management Integrated dashboards for assigning, tracking, and closing compliance cases. |
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Alert Workflow Management Custom workflows for triaging and resolving flagged incidents. |
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Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs. |
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Search and Filtering Advanced querying, filtering, and sorting for efficient review. |
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Keyword Highlighting Highlights detected keywords and phrases in investigator view. |
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Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts. |
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Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes. |
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Annotation and Tagging Ability to annotate and tag communications for future reference. |
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Export and Print Options Enables secure export or print of evidence for regulatory requests. |
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Time to Resolution Average time taken to close an alert or investigation. |
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Scalability & Performance
(0 Yes /0 Known /8 Possible features)
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User Scalability Maximum concurrent or supported users. |
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Data Storage Capacity Maximum amount of data that can be stored. |
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Processing Speed Average speed at which messages or records are processed. |
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Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment. |
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High Availability Designed for minimal downtime with autoscaling and redundancy. |
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Disaster Recovery Built-in capabilities to recover from failures or outages. |
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Load Balancing Distributes workload across resources to ensure stability. |
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Elastic Storage Automatically scales storage with data growth. |
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User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)
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Intuitive Dashboard Modern, clear user interface for quick overview and navigation. |
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Customizable Views Personalized dashboard, reporting, and alert configurations. |
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Role-Based Access Control Functionality and access limited by user roles and permissions. |
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Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access. |
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Mobile Access Ability to access monitoring functions from mobile devices. |
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Accessibility Compliance Adherence to standards such as WCAG for disabled users. |
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Multi-Lingual Interface User interface available in multiple languages. |
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Self-Service Help/Training Embedded support resources, tutorials, and documentation. |
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Notification Preferences Users can customize the types and frequency of alerts/notifications. |
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Integration & Interoperability
(0 Yes /0 Known /8 Possible features)
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Open API Comprehensive API for integrating with other enterprise systems. |
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HR System Integration Ability to import user/entity metadata from HR databases. |
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SIEM Integration Integrates with Security Information and Event Management tools. |
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Data Export Capabilities Supports export of raw and processed data to external systems. |
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Active Directory Compatibility Syncs with corporate directory and identity management solutions. |
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Custom Integration Support Provides professional services for custom integrations. |
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Webhook Notifications Supports real-time event notification through webhooks. |
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Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools. |
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Reporting & Visualization
(0 Yes /0 Known /8 Possible features)
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Custom Report Builder Easy-to-use interface for generating tailored reports. |
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Scheduled Reporting Automated delivery of regular reports to specified recipients. |
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Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc. |
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Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends. |
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Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages. |
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Regulatory Filing Support Templates and exports for regulatory reporting. |
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Access Control on Reports Limits report access by user/role. |
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Historical Data Comparison Compare metrics and alert rates over different timeframes. |
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Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)
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Privacy-by-Design Features Default settings and architectures protect user privacy. |
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Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring. |
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Employee Consent Management Tracks and enforces employee consent for monitored channels. |
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Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users. |
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Redaction Tools Ability to redact data from records before access or sharing. |
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Right to be Forgotten Supports deletion of records upon legitimate requests. |
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Data Minimization Collects and retains only necessary data. |
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Access Review Automation Monitors and reports on who accesses what data and when. |
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Support & Maintenance
(0 Yes /0 Known /8 Possible features)
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24/7 Support Availability Round-the-clock customer or technical support. |
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Onboarding Assistance Help with initial setup, configuration, and migration. |
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Regular Updates Continuous improvement and maintenance with regular updates. |
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Knowledge Base Access Comprehensive support portal with documentation and FAQs. |
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User Community Active online community for sharing best practices and troubleshooting. |
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Dedicated Account Manager Single point-of-contact for customer relationship. |
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Service Level Agreement (SLA) Defined response and resolution times for support inquiries. |
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Training Options Availability of live or web-based training sessions. |
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Electronic Communications Surveillance for Compliance
Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
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Audit Trail and Record-Keeping Systems for Compliance
Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
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