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Trading Floor Solutions

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Sinclair Voicenet provides a range of interaction recording and analytics solutions that enable Trading Floors to meet the growing regulatory requirements for monitoring market abuse.
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They will ensure regulatory compliance, improve risk management and enhance the efficiency of internal processes.

NICE Compliance Recording automatically captures all customer and trade interactions such as telephone, chat and email conversations. Records of all dealings are retained in compliance with external regulations and internal policies. Deployed as a standalone product or integrated with interaction analytics, transaction monitoring and investigation products, it meets the needs of large corporations, remote branches and small to midsized trading floors.

Call playback workflow is automated with a browser-based application giving fast, secure access to audio archives. A browser-based application provides an auditable workflow process for replaying calls to speed up the resolution of disputes. Interactions of interest can be quickly and intuitively located by traders, desk managers and compliance officers using a wide range of search criteria and replayed direct to the desktop after the necessary authorisations are received.

Key Features

  • Automated interaction recording – enables organisations to record and retain records of all customer interactions in compliance with external regulations and internal policies.
  • Sophisticated search, retrieval and call replay – enhances ability to resolve customer disputes quickly and cost-effectively.
  • Compliance investigation (eDiscovery) – uses integrated interaction and speech analytics, playback workflow and desktop analytics to identify and analyse potentially risky calls, alert compliance officers and customise investigation policies to comply with regulations.
  • Compliance call playback workflow - A built-in, auditable workflow process for the rapid replay of call recordings in compliance with strict security requirements.
  • Automated Archiving - Retention management of stored call recordings for pre-defined periods including deletion on the defined expiration date.
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SOLUTION BENEFITS
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Achieves 100% call recording
Ensures compliance with industry regulations including FSA, HIPAA, PCI and MiFID
Extracts data from calls to assist in investigative processes and gain business insight
Minimises exposure to costly disputes and claims
Maintains an audit trail of verbal commitments
Detects and prevents fraud