LogLocker for financial services compliance
Financial services firms are facing significant changes in today's compliance landscape. Regulatory enforcement is stricter, with more fines and penalties being imposed. This, combined with the introduction of new regulations and the impact of hybrid working, has expanded the range of risks that firms face.
Enhance supervision
Compliance teams struggle to manage fractured and disparate supervision and surveillance solutions, which can impact workflows, whether they are run independently or integrated. Surveillance teams are overwhelmed with false positives, making it difficult to identify new risks, while audit teams struggle to locate documentation needed for regulatory reviews quickly.
These challenges make it more difficult for firms to comply with regulations and manage risks.
Comply with regulations and manage risk
LogLocker acts as a complementary technology that ensures financial services firms can handle increasing supervisory pressures.
Complex compliance challenges are simplified by the capturing and recording of actions carried out by individuals on LogLocker’s tamper proof secure audit.
Enhanced compliance
Reduce risk
LogLocker reduces the risk of regulatory violations by providing you with a comprehensive compliance solution that meets the latest supervisory requirements.
Improve surveillance
LogLocker enhances surveillance capabilities by providing a unified view of all employee communications and trading activity - identifying suspicious activity quickly and easily.
Save time and money
LogLocker streamlines alert review and audit processes with a central repository for alerts and audit reports. This saves time and resources, helping to improve the efficiency of the compliance process.
Revitalise your compliance strategy
LogLocker is a valuable tool for compliance teams in financial services firms who want to meet supervisory requirements, improve their surveillance capabilities, and streamline their alert review and audit processes.
Monitor communications
LogLocker can be used to monitor employee communications for suspicious activity, such as words or phrases that could indicate insider trading or market manipulation.
Trading surveillance
LogLocker can be used to monitor employee trading activity for unusual patterns, such as large volume trades or trades in high-risk or illiquid securities.
Get alerts
LogLocker can be used to generate alerts for suspicious activity, such as an employee trading in a company's stock shortly before acquisition or earnings releases.
Streamlined alerts
LogLocker can streamline the alert review process by providing a central repository for all alerts and allowing compliance officers to collaborate on the review process.
Audit reports
LogLocker can generate audit reports that can be used to demonstrate to regulators that the financial services firm is meeting its compliance obligations.
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