E-communication

Focused, risk-based surveillance of employees’ electronic communications

CONNECT WITH AN EXPERT

With financial fraud increasing globally, companies are investing more in compliance technologies and employee monitoring. The situation was exacerbated by the lockdowns last year, heightening the need for monitoring and surveillance of employees.

Employees working from home entails risk; conducting regular checks for misconduct and policy breaches has, therefore, become mandatory.

Acuity Knowledge Partners can help you design and implement e-communication and social media monitoring and surveillance processes in these challenging times. Our subject-matter experts support broker-dealers, investment banks and insurance and asset management firms.

The e-communication reviews we conduct are based on guidelines provided by the SEC, FINRA, CFTC, FCA, PRA, HKMA and SEBI SFC. We cover the US, EMEA and APAC and conduct a comprehensive review of emails, IMs, chats, Bloomberg access, forums, video recordings, audio recordings and social media feeds.

Our services also include presenting the findings through our custom MIS reporting and dashboard management frameworks.

Our services and expertise will be tailor-made to meet your specific needs. Our services include

Reviewing e-communication

Identifying red flags and escalation

Assisting with existing e-communication monitoring process/input on relevance of lexicon

Ad hoc review to support investigations

Details of e-communication monitoring compliance services

What we review

Tap to flip

What we review

  • Emails

  • Forums

  • Chats

  • Bloomberg access

  • Video recordings

  • Audio recordings

  • Social media feeds

What we focus on

Tap to flip

What we focus on

  • Client complaints

  • Personal account dealing

  • OBA

  • Political contributions

  • KYC

  • Electronic and phone communication policy

  • Social media policy

  • Client’s privacy policy

  • Gifts and entertainment policy

  • Market abuse

  • Use of inappropriate language

  • Violation of intellectual property rights

  • Unauthorised communication of regulated content

Learn how we supported a global investment bank to enhance its e-communication review process

Tap to flip

Learn how we supported a global investment bank to enhance its e-communication review process

    Client challenges

  • Bandwidth issues in managing the review of large volumes of e-communication

  • Lack of trained resources and internal policy control

  • Timely addressing of breaches, operational risk and client complaints

    Solution and value delivered

  • Streamlined the review process by reducing up to 70% of false positives

  • Restructured the lexicon’s relevance and policies

  • Identified areas of internal control and made changes to the policies and procedures governing employee activity and behaviour

  • Identified gaps in operations, helping management streamline the processes