Policy For Bloomberg Vault

Technology Applied

Holistic Surveillance Models

Many firms are dealing with the difficulties of having an excess of items to review, policies hitting on irrelevant data, too many channels to review, and out of context reviews. This not only creates issues with overwhelmed reviewers, but also makes for costly refinement cycles and efforts to update and track changes associated with policies. Technically Creative delivers a holistic approach to surveillance with TC Oversight Controls (TCOC). TCOC incorporates actual data points and gives your firm the ability to narrow results down to identify items of concern more accurately with far less effort and time. Make your surveillance platform more efficient, responsive, and effective while cutting down the excessive volume of surveillance items.

ADVANCED HOLISTIC SUPERVISION

Utilizing only a lexicon-based approach to supervision has left compliance teams with an exceedingly large workload. Let TCOC do the heavy lifting. Reduce your review workload and apply a more advanced method to identify concerns before your reviewers even have to touch an event. TCOC provides the ability to reduce false positives and run scenarios that you physically cannot run in today’s supervision products.

IDENTIFY & CAPTURE DATA POINTS

EXECUTE SURVEILLANCE MODEL & CREATE HOLISTIC PACKAGE

SEND HOLISTIC PACKAGE TO SURVEILLANCE FOR REVIEW

TCOC_Holistic Surveillance Diagram_01122021_V4

TCOC gives your business the ability to integrate multiple data sources, such as E-Mail, trade, PTA, HR, contracts, current events, and communications channels. Data points are then collected and sent to your unique surveillance model.

From these individual sources, TCOC takes data points and combines them into a single holistic package to be reviewed, rather than having to connect the dots manually. The ability to incorporate actual data points gives you the capability to narrow results down to more accurately identify items of concern.

TCOC creates a single package with all communications and transactions to show an accurate storyline of surveillance concerns across multiple data channels. This unified package contains all necessary data and flagged incidents and is formatted to be compatible with your firm’s surveillance platform. TCOC reduces the number of false positives and false negatives through integration of your supervision process with all available data sources.

Technically Creative Oversight Controls (TCOC) offers answers to common compliance questions. Click here to view a few of the most prevalent configuration examples.

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