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Actico Compliance Suite from Actico

Comprehensive trade surveillance capabilities, real-time monitoring, rule management, and reporting tools for regulatory compliance.

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Product analysis by function

Trade Surveillance Systems for Risk & Compliance

Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
More Trade Surveillance Systems More Risk & Compliance ...

Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)

Data Management & Integration
(0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates
(0 Yes /0 Known /9 Possible features)

Alert Management
(0 Yes /0 Known /9 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /8 Possible features)

Security & Privacy
(0 Yes /0 Known /8 Possible features)

Reporting & Analytics
(0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics
(0 Yes /0 Known /8 Possible features)

Deployment & Maintenance
(0 Yes /0 Known /8 Possible features)

Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms
(0 Yes /0 Known /7 Possible features)

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.
More Secure Communication Monitoring More Risk & Compliance ...

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Regulatory Compliance
(0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)

Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)

Integration & Interoperability
(0 Yes /0 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)

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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse.		No information available
Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access.		No information available
Front-Running Detection Ability to detect trades executed ahead of client or fund orders.		No information available
Wash Trade Detection Detection of self-trading or artificially generated trades.		No information available
Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders.		No information available
Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives).		No information available
Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria.		No information available
Real-time Monitoring Capability to analyze trading activity as it happens.		No information available
Historical Analysis Ability to review and analyze past trading data for retrospective investigations.		No information available
Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach.		No information available
Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors.		No information available

Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference).		No information available
Data Normalization Automatically transforms heterogeneous data formats into a unified structure.		No information available
Real-time Data Ingestion Speed Latency from data input to analysis.		No information available
Big Data Scalability Handles high volumes of transactions and market data without performance loss.		No information available
APIs for Integration Standard APIs for integration with other front/middle/back office systems.		No information available
Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions.		No information available
Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes).		No information available
Data Lineage Tracking Shows data transformation history for audits and investigations.		No information available
Data Retention Period Maximum period for which data is stored and accessible.		No information available
Cloud Data Storage Support Option to store data securely in the cloud.		No information available

Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA).		No information available
Jurisdiction Awareness Easily applies rules by geographical region or regulator.		No information available
Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes.		No information available
Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies.		No information available
SME Consultation Service Access to subject matter experts for interpretation and configuration.		No information available
Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review.		No information available
Compliance Dashboard Real-time visualization of compliance status and exposures.		No information available
Regulator Submission Automation Automates periodic or ad-hoc regulatory filing.		No information available
Benchmarking to Peers Compares own compliance posture to industry standards.		No information available

Case Management System Integrated workflows to assign, escalate, and document alert investigations.		No information available
Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently.		No information available
Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates.		No information available
Alert Volume Capacity Maximum number of alerts the system can generate/manage daily.		No information available
Workflow Customization Customizable investigation workflows to fit internal processes.		No information available
Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking.		No information available
Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts.		No information available
Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously.		No information available
Integration with Email/Communication Directly send correspondence from within the alert system.		No information available

Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management).		No information available
Mobile Device Access Access system via tablets, mobile phones, or browser-based apps.		No information available
Role-Based Access Control Limit data and functionality access based on user roles.		No information available
Multi-language Support Available in multiple languages for global teams.		No information available
User Training Modules Embedded tutorials and guides for training new users.		No information available
Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation).		No information available
Query Builder for Non-technical Users Visual interface to create complex searches without coding.		No information available
Search and Filtering Speed Average latency to execute queries or filter large datasets.		No information available

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Financial Technology Year

Actico Compliance Suite from Actico

Product analysis by function

Trade Surveillance Systems for Risk & Compliance

Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)

Data Management & Integration
(0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates
(0 Yes /0 Known /9 Possible features)

Alert Management
(0 Yes /0 Known /9 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /8 Possible features)

Security & Privacy
(0 Yes /0 Known /8 Possible features)

Reporting & Analytics
(0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics
(0 Yes /0 Known /8 Possible features)

Deployment & Maintenance
(0 Yes /0 Known /8 Possible features)

Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms
(0 Yes /0 Known /7 Possible features)

Secure Communication Monitoring for Risk & Compliance

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Regulatory Compliance
(0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)

Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)

Integration & Interoperability
(0 Yes /0 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)

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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer.		No information available
Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication.		No information available
Multi-Factor Authentication (MFA) Requires two or more authentication factors for access.		No information available
Detailed User Access Logging Complete logs of all user access and actions.		No information available
GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws.		No information available
Regular Security Audits Periodic internal and third-party penetration testing.		No information available
Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required.		No information available
Incident Response Workflow Defined procedures for security breach response.		No information available

Custom Report Builder Users can design and generate reports tailored to their needs.		No information available
Regulatory Reporting Templates Pre-built formats for standard regulatory filings.		No information available
Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals.		No information available
Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel).		No information available
Ad hoc Query Support Generate reports or data sets on the fly as needed.		No information available
Interactive Data Visualization Graphical dashboards and analytics tools for insight.		No information available
Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations.		No information available
Report Generation Speed Average time to generate standard compliance reports.		No information available

Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks.		No information available
Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues.		No information available
Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes.		No information available
Predictive Analytics Forecasts likely future risks based on historical trends.		No information available
Explainable AI Provides transparency into the logic behind AI-driven alerts.		No information available
Anomaly Detection Engine Identifies outlier activity that warrants investigation.		No information available
False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics.		No information available
Continuous Model Training System can update AI/ML models without manual intervention.		No information available

Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution.		No information available
On-Premise Deployment Option Supports a local installation option for sensitive environments.		No information available
Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure.		No information available
Uptime/Availability SLA Level of guaranteed system uptime.		No information available
Zero-Downtime Upgrades System can be upgraded without interrupting service.		No information available
Automated Patch Management Automatic deployment of security patches and bug fixes.		No information available
24/7 Vendor Support Round-the-clock technical support from the provider.		No information available
Performance Monitoring Tools Comprehensive tracking of application health and speed.		No information available

Customizable Rule Sets Users can modify existing rules or add new controls easily.		No information available
Plugin/Extension Interface Supports third-party add-ons or internal custom modules.		No information available
White Labeling Capability System can be branded to an organization's specifications.		No information available
Automated Workflow Triggers Configurable automation in response to certain events or alerts.		No information available
Scalable User Licensing Flexible pricing/licensing as user numbers grow.		No information available
Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule.		No information available
Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers).		No information available

Transparent Fee Structure Clear upfront pricing with no hidden fees.		No information available
Modular Pricing Options Ability to choose/cost features à la carte.		No information available
Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost.		No information available
Scalability of Costs Costs scale appropriately with usage, users, or data volume.		No information available
Free Trial/Proof of Concept Offered prior to contract to validate suitability.		No information available
Flexible Contract Length Ability to agree short- or long-term contracts.		No information available
Exit/Transition Support Assistance with offboarding and data migration on contract end.		No information available

End-to-End Encryption Ensures all data transmissions are encrypted between communicating parties.		No information available
Data at Rest Encryption Protects stored data from unauthorized access using encryption.		No information available
Transport Layer Security (TLS) Utilizes TLS protocols for secure communications.		No information available
Key Management Robust system for managing encryption keys, including rotation and revocation policies.		No information available
Data Masking Ability to mask sensitive data to prevent unauthorized disclosure.		No information available
Zero Trust Architecture Implements principles of zero trust to restrict lateral movement and access.		No information available
Secure APIs APIs are protected with authentication and rate-limiting to prevent abuse.		No information available
Audit Logging Maintains secure logs of all actions and changes for audit trail.		No information available
Data Loss Prevention (DLP) Monitors and prevents unauthorized data exfiltration.		No information available
Anonymization/Pseudonymization Ability to anonymize or pseudonymize sensitive data for compliance.		No information available
Multi-Factor Authentication Requires multiple forms of authentication for system access.		No information available
Intrusion Detection Monitors data environments for signs of intrusion or compromise.		No information available
Compliance with Standards Adheres to recognized security standards such as ISO 27001 or SOC 2.		No information available
Security Patch Management Ensures prompt deployment of security updates and patches.		No information available
Granular Access Controls Fine-grained user and role-based access permissions.		No information available

Email Monitoring Can capture and analyze email communications from various providers.		No information available
Instant Messaging Monitoring Supports chat applications like Bloomberg, Teams, Slack, and WhatsApp.		No information available
Voice Communication Monitoring Records and analyzes voice calls for compliance.		No information available
Social Media Monitoring Monitors platforms such as Twitter, LinkedIn, and Facebook.		No information available
SMS/Text Message Monitoring Captures and analyzes text messages including SMS and MMS.		No information available
Video Conferencing Monitoring Supports monitoring of Zoom, WebEx, and similar video platforms.		No information available
Mobile Device Integration Ability to monitor communications on mobile platforms.		No information available
Multi-Language Support Understands and processes communications in multiple languages.		No information available
Cloud App Integration Integrates with SaaS communication tools.		No information available
Real-time Data Capture Ability to monitor and capture communications in real time.		No information available
Legacy System Integration Compatibility with on-premise and older systems.		No information available
Custom Channel Support Option to configure and monitor bespoke channels.		No information available

MiFID II Compliance Ensures monitoring features enable compliance with MiFID II.		No information available
SEC/FINRA Compliance Features suited for SEC/FINRA communication surveillance requirements.		No information available
GDPR Support Facilitates privacy and data protection under the European GDPR.		No information available
Retention Policy Management Configurable message retention periods for regulatory requirements.		No information available
Automated Compliance Reporting Generates reports and monitoring summaries for auditors and regulators.		No information available
Pre-configured Policy Templates Templates for standard compliance monitoring based on best practices.		No information available
Exportable Audit Trails Easily exportable, immutable logs to share with regulators.		No information available
Data Sovereignty Controls Ensures data remains within legally required geographic boundaries.		No information available
Certification Documentation Provides compliance certificates and documentation support.		No information available
Workflow for Legal Hold Supports litigation hold requirements on communication records.		No information available

Keyword and Phrase Detection Advanced filtering to detect sensitive, risky, or banned terms.		No information available
Machine Learning/AI Detection AI-based pattern recognition for advanced risk insight and anomaly detection.		No information available
Natural Language Processing (NLP) Uses NLP to understand context and intent in communications.		No information available
Sentiment Analysis Determines sentiment/tone to help flag negative or escalating conversations.		No information available
Behavioral Analytics Identifies unusual behaviors such as off-channel or after-hours contact.		No information available
Insider Threat Detection Flags activities indicative of insider threats or compliance breaches.		No information available
Automated Alert Generation Automatically generates alerts for high-risk communications.		No information available
False Positive Reduction Tools Features for tuning and fine-tuning engines to minimize false positives.		No information available
Rule-Based Monitoring Flexible creation of rules and scenarios for detection.		No information available
Customizable Risk Scoring Assigns risk scores based on detected patterns and behaviors.		No information available
Volume of Communications Processed Maximum amount of data/messages processed per day.		No information available

Privacy-by-Design Features Default settings and architectures protect user privacy.		No information available
Ethical Filtering Opportunities to exclude personal or confidential discussions from monitoring.		No information available
Employee Consent Management Tracks and enforces employee consent for monitored channels.		No information available
Privacy Notices and Disclosures Built-in mechanisms for notifying monitored users.		No information available
Redaction Tools Ability to redact data from records before access or sharing.		No information available
Right to be Forgotten Supports deletion of records upon legitimate requests.		No information available
Data Minimization Collects and retains only necessary data.		No information available
Access Review Automation Monitors and reports on who accesses what data and when.		No information available

Case Management Integrated dashboards for assigning, tracking, and closing compliance cases.		No information available
Alert Workflow Management Custom workflows for triaging and resolving flagged incidents.		No information available
Evidence Preservation Capabilities to lock and secure critical evidence for legal or compliance needs.		No information available
Search and Filtering Advanced querying, filtering, and sorting for efficient review.		No information available
Keyword Highlighting Highlights detected keywords and phrases in investigator view.		No information available
Bulk Actions Supports bulk tagging, commenting, escalation, or closure of alerts.		No information available
Collaboration Tools Allows multiple reviewers to collaborate, communicate, and add notes.		No information available
Annotation and Tagging Ability to annotate and tag communications for future reference.		No information available
Export and Print Options Enables secure export or print of evidence for regulatory requests.		No information available
Time to Resolution Average time taken to close an alert or investigation.		No information available

User Scalability Maximum concurrent or supported users.		No information available
Data Storage Capacity Maximum amount of data that can be stored.		No information available
Processing Speed Average speed at which messages or records are processed.		No information available
Cloud Deployment Options Availability of cloud-native, on-premises, or hybrid deployment.		No information available
High Availability Designed for minimal downtime with autoscaling and redundancy.		No information available
Disaster Recovery Built-in capabilities to recover from failures or outages.		No information available
Load Balancing Distributes workload across resources to ensure stability.		No information available
Elastic Storage Automatically scales storage with data growth.		No information available

Intuitive Dashboard Modern, clear user interface for quick overview and navigation.		No information available
Customizable Views Personalized dashboard, reporting, and alert configurations.		No information available
Role-Based Access Control Functionality and access limited by user roles and permissions.		No information available
Single Sign-On (SSO) Integration with enterprise SSO providers for seamless access.		No information available
Mobile Access Ability to access monitoring functions from mobile devices.		No information available
Accessibility Compliance Adherence to standards such as WCAG for disabled users.		No information available
Multi-Lingual Interface User interface available in multiple languages.		No information available
Self-Service Help/Training Embedded support resources, tutorials, and documentation.		No information available
Notification Preferences Users can customize the types and frequency of alerts/notifications.		No information available

Open API Comprehensive API for integrating with other enterprise systems.		No information available
HR System Integration Ability to import user/entity metadata from HR databases.		No information available
SIEM Integration Integrates with Security Information and Event Management tools.		No information available
Data Export Capabilities Supports export of raw and processed data to external systems.		No information available
Active Directory Compatibility Syncs with corporate directory and identity management solutions.		No information available
Custom Integration Support Provides professional services for custom integrations.		No information available
Webhook Notifications Supports real-time event notification through webhooks.		No information available
Third-party Marketplace Connectors Integration-ready connectors for popular SaaS and compliance tools.		No information available

Custom Report Builder Easy-to-use interface for generating tailored reports.		No information available
Scheduled Reporting Automated delivery of regular reports to specified recipients.		No information available
Export to Multiple Formats Reports can be exported to PDFs, Excel, CSV, etc.		No information available
Data Visualization Tools Graphs, heatmaps, and other visual tools to spot trends.		No information available
Drill-Down Capabilities Ability to investigate from aggregated data down to individual messages.		No information available
Regulatory Filing Support Templates and exports for regulatory reporting.		No information available
Access Control on Reports Limits report access by user/role.		No information available
Historical Data Comparison Compare metrics and alert rates over different timeframes.		No information available

24/7 Support Availability Round-the-clock customer or technical support.		No information available
Onboarding Assistance Help with initial setup, configuration, and migration.		No information available
Regular Updates Continuous improvement and maintenance with regular updates.		No information available
Knowledge Base Access Comprehensive support portal with documentation and FAQs.		No information available
User Community Active online community for sharing best practices and troubleshooting.		No information available
Dedicated Account Manager Single point-of-contact for customer relationship.		No information available
Service Level Agreement (SLA) Defined response and resolution times for support inquiries.		No information available
Training Options Availability of live or web-based training sessions.		No information available

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Financial Technology Year

Actico Compliance Suite from Actico

Product analysis by function

Trade Surveillance Systems for Risk & Compliance

Core Surveillance Capabilities (0 Yes /0 Known /11 Possible features)

Data Management & Integration (0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates (0 Yes /0 Known /9 Possible features)

Alert Management (0 Yes /0 Known /9 Possible features)

User Experience & Accessibility (0 Yes /0 Known /8 Possible features)

Security & Privacy (0 Yes /0 Known /8 Possible features)

Reporting & Analytics (0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics (0 Yes /0 Known /8 Possible features)

Deployment & Maintenance (0 Yes /0 Known /8 Possible features)

Configurability & Extensibility (0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms (0 Yes /0 Known /7 Possible features)

Secure Communication Monitoring for Risk & Compliance

Data Security (0 Yes /0 Known /15 Possible features)

Communication Channel Coverage (0 Yes /0 Known /12 Possible features)

Regulatory Compliance (0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics (0 Yes /0 Known /11 Possible features)

Review and Investigation Tools (0 Yes /0 Known /10 Possible features)

Scalability & Performance (0 Yes /0 Known /8 Possible features)

User Experience & Accessibility (0 Yes /0 Known /9 Possible features)

Integration & Interoperability (0 Yes /0 Known /8 Possible features)

Reporting & Visualization (0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls (0 Yes /0 Known /8 Possible features)

Support & Maintenance (0 Yes /0 Known /8 Possible features)

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Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)

Data Management & Integration
(0 Yes /0 Known /10 Possible features)

Regulatory Coverage & Updates
(0 Yes /0 Known /9 Possible features)

Alert Management
(0 Yes /0 Known /9 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /8 Possible features)

Security & Privacy
(0 Yes /0 Known /8 Possible features)

Reporting & Analytics
(0 Yes /0 Known /8 Possible features)

Artificial Intelligence & Advanced Analytics
(0 Yes /0 Known /8 Possible features)

Deployment & Maintenance
(0 Yes /0 Known /8 Possible features)

Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)

Cost & Commercial Terms
(0 Yes /0 Known /7 Possible features)

Data Security
(0 Yes /0 Known /15 Possible features)

Communication Channel Coverage
(0 Yes /0 Known /12 Possible features)

Regulatory Compliance
(0 Yes /0 Known /10 Possible features)

Risk Detection & Analytics
(0 Yes /0 Known /11 Possible features)

Review and Investigation Tools
(0 Yes /0 Known /10 Possible features)

Scalability & Performance
(0 Yes /0 Known /8 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /9 Possible features)

Integration & Interoperability
(0 Yes /0 Known /8 Possible features)

Reporting & Visualization
(0 Yes /0 Known /8 Possible features)

Privacy & Ethical Controls
(0 Yes /0 Known /8 Possible features)

Support & Maintenance
(0 Yes /0 Known /8 Possible features)