Communication Surveillance Policy and Rules

COMMUNICATION SURVEILLANCE

Policy AND Rules

Technically Creative is an industry leader providing cutting-edge technology solutions for compliance. Our reputation is backed by the quality of our work, collective knowledge, and experience with compliance and policy advancement.

Custom Policy Development

We work with companies to define and create targeted policies on current or past matters. Emphasis is placed on policy accuracy that results in a low volume of hits to minimize reviewer impact. To operate an effective supervision process, you must maintain and progress your supervision policies and scope based on current firm activity and regulatory changes. The communication surveillance policy lifecycle is the most critical piece to the health of your supervision system. Having an effective policy lifecycle where you evidence changes and validate no loss of your true positives is critical to staying out of sight of the regulators.

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Policy and Refinement Tools

Businesses are looking for more options and support when it comes to policy development, testing, and refinement. Technically Creative is providing new ways to utilize your surveillance platform’s incoming data to better serve your business. TC offers Replay functionality, data aggregation and collection, and data enrichment, along with reporting capabilities as a tool for policy testing and refinement through the TC Oversight Controls (TCOC) platform. With TCOC, businesses have options to simplify and aid in policy development and refinement.

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Policy Refinement Program

Technically Creative provides communication surveillance policy refinement services to meet your regulatory needs. Having refined policies in place is crucial in order to keep up with frequently changing business or regulatory requirements.

Policy Refinement Cycle Includes:

Evaluate baseline policy: Work with stakeholders to identify regulatory and business needs.
Apply initial refinement: Includes updating syntax.
Run against test data: Establish data sets.
Evaluate results: Review captured content and results with client.
Further refinement until policy hits are more accurate.
Validation and reporting.

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Foreign Language and Regional Policies

As companies continue to grow on a global scale, there is an increasing demand for policies that detect the use of foreign languages as well as communication surveillance policies written in languages other than English. According to FINRA Rule 3110 (Supervision), if a firm allows a language, it must surveil that language; if a firm allows any communication, whether it be a channel, a type, or a specific language, then it must be surveilled.  Technically Creative offers services for both detections of Foreign Language Policy and Regional Policy Development to help companies meet these requirements.

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Featured Partner

Bloomberg Vault is an integrated compliance and surveillance solution that helps firms to aggregate, archive, and analyze their communications, trading, and voice data to reduce risk, meet regulatory obligations, and elevate business controls and standards.

Together, Technically Creative and Bloomberg provide clients with advanced context-sensitive policy capabilities, leveraging Technically Creative’s unique combination of technical and surveillance expertise to deliver the highest level of compliance solutions.

FILL THE GAPS

DO YOU HAVE ADEQUATE POLICY COVERAGE TO COVER YOUR SUPERVISION REQUIREMENTS?

View Our Policy Catalog.

Policy Migration

Policy migration is one of the most complex, time consuming, and critical pieces of any system migration. Without well-defined and developed policies in place, you leave yourself exposed to a tremendous amount of risk, even while leveraging the best surveillance system on the market. When it comes to policy migration, success is in the details! Technically Creative’s extensive experience, combined with a unique approach to building contextual-based linguistic rules, ensures that each policy we build captures the most relevant content effectively and efficiently while reducing any extraneous noise.