Ask About Our Solutions

Send us your details and we'll be in touch to arrange a RegFocus Market Surveillance Demo for you.

Integrated Surveillance: Communications and Transactional Surveillance as a Single Service

SOTERIA and RIMES Technologies Partner to Provide Integrated Trade and Communication Surveillance Solution for Financial Services

When Best-in-Class Surveillance Solutions Unite

 

 

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)

Have a specific system requirement?

Get in touch, we can handle it for you.