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Proactive regulatory compliance monitoring by

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Intensifying Regulatory Landscape

The regulatory environment is intensifying – reactive compliance is no longer sufficient. The Financial Services Royal Commission highlighted the prevalence of ‘non-financial’ risks and organisations must take steps to mitigate such possibilities. Regulated entities now have an obligation to proactively monitor the dealings of their employees to protect consumers and assuage risks of fraudulent behaviour.  You will need near-real-time insight into who is doing what, when and with whom. 

AI Communication Surveillance for Proactive Compliance

Relativity Trace monitors all communications for suspicious behaviour to generate instant alerts for your compliance officers. 

Identify nefarious activity – as it happens 

 

Relativity Trace is an automated monitoring platform allowing your organisation to demonstrate a proactive compliance program to the regulators. Detect the warning signs within your organisation – before they develop into compliance breaches. 

Built for purpose

 

icourts‘ data analysts will customise the Relativity Trace rules engine to trigger unique alerts based on activity that may constitute a violation within your organisation. Our analysts will work with your compliance team to write rules specific to your organisation’s policy criteria. 

Over 40 communication sources 

 

Trace captures communication data from audio, email, and chat plus attachments from 900+ different file types. Trace also connects to major financial and enterprise systems including Skype, Slack, Reuters and Bloomberg as well as collaboration platforms including Office 365, Microsoft Exchange, OneDrive, Box and more. If your organisation uses an unsupported system the icourts’ Development team can use the API system to connect you to Trace. A full list of the data sources Trace supports is available here. 

Out of the box surveillance models 

 

Gain insights into your organisation’s communications right away with 15+ out-of-the-box surveillance models. The pre-programmed rules monitor some of the most common bad behaviour including insider trading, market manipulation, AML, customer complaints and more. Relativity Trace leverages the power of analytics to ensure fewer false positives and ensure your team can focus on the communications that really matter. full list of the out of the box surveillance policies is available here. 

End to End Compliance Platform

Detection to resolution – a single solution 

 

As Trace is built on the Relativity eDiscovery platform you can run your compliance from a single platform. If your organisation’s monitoring and alerts lead to investigation, litigation or notifying the regulators – you can complete the entire process in Relativity without ever leaving the system. 

Machine learning to reduce false positives 

 

The machine learning capabilities of Relativity’s Active Learning continually learn from your compliance teams decisions to reduce the incidence of false positives. Each document that triggers an alert will be served up to your compliance team to mark as irrelevant or escalate for further investigation. Active Learning continuously learns from the human input to become more intelligent and serve up relevant documents to trigger the alerts. 

Defensible audit trail 

 

Running your compliance programme through Relativity creates a fully defensible audit history. Relativity generates an audit of every user’s action – ever. Relativity Trace will produce a record of every document to generate an alert, every time a document was viewed, updated and changed and by whom. 

Custom developments and integrations 

 

Our team of analysts and developers build on top of the Relativity Trace platform to adapt the technology to your unique regulatory and compliance requirements. Via API integrations, we can extend Relativity Trace to connect with custom built systems for data capture and complementary regulation monitoring. 

icourts Investigations Advantage 

A bestinclass compliance programme needs more than just sophisticated technology, it needs talented humans and efficient processes. The consultants at icourts are experts in designing and running investigations, being drawn from backgrounds including financial regulators, law firms and police. Our team will work with your compliance team to develop and train the Trace Rules Engine to build a system that generates comprehensive alerts whilst minimising false positives. 

Relativity Expert Credentials

We take our Relativity credentials seriously

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