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Financial Networks

Compliant capture and archive of today's leading financial networks.

Financial Network Compliance
Financial Network Compliance

Strengthen your oversight and avoid risk while using popular financial networks.

Financial services firms demand the flexibility to communicate over the networks their clients prefer. This can be challenging as new networks keep pace with evolving compliance requirements. Actiance helps meet these challenges by delivering:

  • Forensically-sound capture of financial networks including Bloomberg, Thomson Reuters, Symphony, and more
  • The ability to preserve the full context of conversations
  • Fast, reliable integration with SEC 17a-4 and WORM compliant archives

How Actiance can help with Financial Network compliance

TRUECOMPLIANCE CAPTURE

Vantage delivers forensically-sound capture including full binary record and hash value, message order preservation, and chain of custody protection

FINANCIAL-SPECIFIC POLICY MANAGEMENT

Vantage enables firms to meet specific record keeping requirements outlined by FINRA, SEC, HIPAA, FCA, and MiFID

LIGHTNING FAST PERFORMANCE

Alcatraz provides quick ingestion, search, review, and export of content to meet time-sensitive compliance requests

IMMUTABLE, TAMPER-PROOF CONTENT STORAGE

Alcatraz is designed as a certified WORM storage platform to meet SEC 17a-4, IIROC, FCA, and MiFID II requirements

The Actiance Advantage for Financial Network compliance

Unify identities across Financial Networks

Unify identity management and data mapping by capturing profiles and user identification across Financial Networks

Capture & preserve conversational context

Review complete records of full conversations to improve review efficiency & effectiveness

Modern, open, cloud scale platform

Alcatraz leverages the same technologies that power Amazon, Netflix, and Google for sustainably fast performance and extensibility

Supervision and content surveillance

Enable compliance with Financial Services supervisory requirements with expressive review policies, flexible workflows, and robust dashboards and reporting, while leveraging full APIs to deliver Financial Network content to downstream apps for holistic surveillance.

Financial Network compliance
Single platform for all your financial network communications compliance

Compliant capture and archiving of Financial Network content.

Actiance delivers a unified platform enabling you to capture and archive content across leading financial networks and many other communications channels. The platform provides extensibility and open APIs to easily integrate new channels as required by your clients. The Actiance Platform includes:

Vantage: enables the compliant capture of financial networks including Bloomberg, Thomson Reuters, Symphony, FactSet, IceChat, and other custom-built messaging applications
Alcatraz: an immutable, tamper-proof content store to meet retention and disposition requirements across financial networks and all other content types

financial network compliance
Knowledge Center

Financial Network compliance and archiving.

Financial network compliance starts with the ability to capture content in a fashion that withstands regulatory scrutiny. Financial content should be complete including capture of metadata, should include a binary record, as well as complete chain-of-custody that highlight how information has been captured - and by whom. This should exist regardless of the content source, API availability, or whether the servers housing the financial content are located in the cloud. Simply screen scraping or using rudimentary tools for the capture of today's content variety and richness is - in many cases- not sufficient.

Financial network compliance also encompasses how this information is preserved and archived. Within financial services, most major regulators around the world demand that information be archived in a tamper-proof, WORM-compliant content store to prevent potential data loss or exposure to those with intent on doing harm. Financial network archiving must meet these immutability requirement, while at the same time, ensure that information is always accessible, subject to supervisory review requirements, and is easily extractable to meet the unpredictable demands of regulators.

Talk to an Actiance Financial Network compliance expert

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