NICE Financial Markets Compliance

Market abuse can expose your firm to fines and regulatory risk. Is your firm doing everything it can to detect and prevent it? Join Regtech and Compliance experts on March 25th for this A-Team Insight, from A-Team Group webinar as we share the latest regulatory updates, and explore how you can leverage the latest AI-driven surveillance technologies and best practices to safeguard your organisation from market abuse and regulatory risk. Scheduling conflict? Register anyway and we’ll send you a link to the on-demand webinar. Register here: https://lnkd.in/eNmPZnsX #marketabuse #financialservices #regtech #AI #artificialintelligence #surveillance #bestpractices

Upcoming Webinar: Managing Off-Channel Communications Compliance The increasing use of personal messaging apps, social media, and other unmonitored channels for business-related communications, is exposing financial services firms to substantial regulatory risk, and enforcement actions are underscoring this. Since 2021, the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission have issued fines of more than $3.5 billion for record-keeping violations, with no signs of slowdown in sight. Join us for this A-Team Group-sponsored webinar as senior RegTech executives and compliance practitioners from NICE Actimize, TP ICAP and?Rabobank discuss the risks associated with unmonitored channels, and share strategies and best practices to address this challenge. Register here: https://lnkd.in/e4KsgcMG #webinar #regtech #compliance #financialservices #compliance

Thank you to everyone who attended NICE Actimize's recent half-day Trade & Communications Compliance Forum in Sydney! It was wonderful to connect with all of you and discuss how our advanced technology can assist your firm in staying compliant, mitigating risks, and ensuring that regulated employees and representatives are adhering to the rules. ? Our discussions highlighted the following key takeaways: 1. The pressure on financial services firms to include business communications in surveillance obligations has never been greater. 2.?While preventing market manipulation and insider trading is crucial, firms and regulators are increasingly focusing on other forms of ‘non-financial’ misconduct, such as harassment, discrimination, and breaches of confidentiality. 3. Clean and accurate data has become a significant obstacle to effective surveillance; recognizing this, firms need robust data controls. Missed us at the forum? Follow us here for updates on upcoming events. #regtech #financialservices #compliance #surveillance

SIFMA’s C&L Annual Seminar is coming up fast! As the preeminent meeting place for compliance and legal professionals in financial services, it's a don't miss event. Planning to attend? Visit with NICE Actimize in booth #300 to learn about Compliancentral, our end-to-end communication and trade compliance suite. Guy Gettens, Cromwell Fraser and Yulia Shvetsova will be on hand to answer all your questions. https://lnkd.in/eWjMzqX7 #regtech #financialservices #compliance

Thanks to everyone who visited NICE Actimize’s booth at the recent RegTech Insight, from A-Team Group's TradingTech Summit London! A lot of great conversations around how NICE Actimize can help financial services firms improve regulatory compliance and reduce risk. Missed us at the show? Check out our website to learn more: https://lnkd.in/dWGrCXn. #regtech #financialservices #compliance

NICE Actimize is excited to be a silver sponsor of RegTech Insight, from A-Team Group's TradingTech Summit London taking place this week. We hope to see you there! Please feel free to drop by booth #7 for a demo of Compliancentral. When you know more, you risk less! https://lnkd.in/gFPJKUa #regtech #financialservices

Missed our webinar on holistic conduct surveillance? Follow the link below to?view it on-demand. NICE Actimize's suitability experts explain how holistic conduct surveillance can help your firm stay a step ahead of risk, while improving investor protections, and ensuring compliance with regulations. https://lnkd.in/efcND5YA #regtech #financialservices #holisticsurveillance #conductsurveillance #surveillance

Are regulatory fines for communication surveillance and misconduct keeping you on edge? You’re not alone! NICE Actimize and Capco have launched the 2025 Communications Surveillance Benchmarking Study to help firms like yours get ahead of the challenges. Complete our survey and receive a copy of the benchmarking report that shows how your firm stacks up against others in areas like: ? Alert volumes and technology spending ? AI adoption and use of new communication channels ? Biggest challenges in surveillance ?? Take the survey here: https://lnkd.in/ep9fgn4u #CommunicationsSurveillance #RegTech #Survey

Start improving your surveillance program today! Join us for this complimentary half-day forum in Singapore to learn about the latest, advanced trade and communications compliance technologies and best practices. Help your firm stay compliant, mitigate risks, and ensure regulated employees and representatives are playing by the rules. Learn more or register here: https://lnkd.in/e5v2jehV #regtech #financialservices #surveillance #compliance #event

NICE Actimize's NTR-X is continuing to redefine what's possible in compliance recording in 2025. Check out the video below! Chad B. (our very own Chad Billing) tells us what's new in the latest NTR-X release, and what's on the horizon. #compliancerecording #financialservices #regtech #compliance