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SOTERIA

SOTERIA provides financial organizations around the world with the ability to compliantly capture, analyze, store and surveil business communications and market data in T0, regardless of the source, and in a single, global and hierarchical view. They also provide Data Integrity through tokenized 3rd party verification for Duty of Care and Evidential Weight.

RIMES fully integrates with SOTERIA: the service marries trade and communication monitoring, to provide financial firms with best-in-class Market Manipulation and Insider Dealing Detection capabilities.

Within RIMES’ RegFocus℠ Market Surveillance service, users can identify defined suspicious behaviors and patterns, which can be investigated fully using SOTERIA’s real-time communications capture and surveillance capabilities for all audio, video and electronic records.

The is the industry’s first ever unified surveillance service, which creates workflow efficiencies, significantly reducing review time. By unifying communications and trading exceptions, effective and robust compliance risk controls for both buy-side and sell-side financial services firms are redefined.

 

 

Key Differentiators:

  • Breaking exception-based silos by relating transactions with voice and electronic communications across platforms
  • Service to First, Second, and Third Control Lines for Regulatory Risk and Conduct Monitoring
  • Two Respective Experts remaining focused on what they do best: RIMES for transaction analytics and SOTERIA for communications

Built with Key Current Regulation in mind:

  • MAR Requirements, including cross-asset and cross-market manipulation requirements
  • MiFID II, including Trade Reconstruction Requirements
  • FCA Senior Managers and Compliance Regime (SM & CR)
  • SEC Regulation Best Interest (BI)
RIMES-Soteria-Integrated-Trade-Communications-Surveillance-April-2020

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Our Managed Data Services

  • Working with 500+ data and 1500 data sets
  • Superior data quality and accuracy
  • 75,000 index, price & reference data feeds delivered daily
  • Fully managed, validated and system-ready feeds
  • Data delivered via API or file format for operational or analytical users
  • Increase business agility and scalability
  • Faster time to quality & market
  • Global expert 24/7 support

Have a specific system requirement?

Get in touch, we can handle it for you.