ベリントの金融コンプライアンス

Financial markets are subject to ever more stringent and prescriptive regulations. Financial regulations such as MiFID II, III, and FCA PS25/23 have tightened the rules for trade-related recordkeeping, monitoring, evidencing, and reporting. They’ve also increased fines and penalties for compliance failures and have introduced strict rules around non-financial misconduct. And if you operate in multiple regions with different jurisdictions, these challenges are multiplied.

新しい要件への対応とは、確認手続きをこなすだけの業務ではなく、長期的かつ戦略的なアプローチをとることであり、適切なパートナーが必要です。

Read our blog to learn how VFC AI Insights can help you comply with regulations.

By now, most financial services firms have either adopted AI or are actively evaluating their options. The promise is clear: smarter decisions, faster processes, and better compliance. But making AI work in a highly regulated, data‑intensive, and increasingly complex communications environment is not without its challenges. Fragmented records from legacy systems, governance requirements, the complex language of the trading floor, and even choosing the right AI pose real difficulties to businesses.

Are you looking to adopt AI in your organization? Read our blog to learn if you should build or buy AI for financial compliance.

As AI becomes an integral part of operations in financial organizations, regulations such as the EU AI Act and Digital Operational Resilience Act (DORA) emerge to enforce ethical and responsible practices. Businesses are required to make AI-driven decision-making processes fair, transparent, and auditable.

Additionally, data security is fundamental in financial services. Organizations like yours must ensure your AI processes handle all data securely and without exposing sensitive information, whether it’s on premises, in the cloud, or in a hybrid environment.

Learn more about the importance of explainable and responsible AI in financial services from our blog.

Businesses are looking for new ways to collaborate, interact with customers, and negotiate trades. A huge amount of communications is now in multi-party conferences and across different diverse platforms including dealerboards such as IPC and BT, mobile phones, and UC such as

However, many compliance recording solutions only capture telephone voice – creating a regulatory compliance gap. To help close this gap, Verint’s unified platform captures and securely archives multiple interaction modes from voice and chat to video and screensharing across trader voice, IP telephony, mobile, UC, and more.

In addition, voice remains a critical communications channel, but the evolution of technology makes it difficult for financial services firms to find the gaps in captured communications. You need to future-proof your compliance operations with AI-powered speech recognition, analytics, and Insights – pre-trained for the financial markets.

Ongoing communication monitoring, infrastructure testing, and compliance checks are resource-hungry tasks. Keeping up with all the changes, evolving communication channels, and changing regulations requires significant effort. Monitoring the status of telephony and voice networks, especially over multiple locations, is even more complex. Search & replay is no longer a solution purely for traders to review trade mismatches. Litigation holds and case management now also have a wider part to play in securing data integrity.

Verint Financial Compliance can help you handle these tasks more effectively without human intervention, mitigating the risk of human error and freeing up staff to concentrate on other tasks.

多くの金融機関は、コミュニケーション環境に影響を与える複雑な規制に従う必要があります。ポリシールールの遵守を積極的に確認し、情報交換を管理することで、不正行為、望ましくない情報漏洩、および組織全体の誤操作のリスクを軽減できます。

ベリントは、ビジネスに関する問題を発生前に防止する、プロアクティブなアプローチの採用をお手伝いします。

Today’s financial services firms must manage communications across multiple digital channels. Verint Financial Compliance can help your business tap into the power of artificial intelligence. It enables you to extract value from voice and eComms with domain-specific, compliance-focused speech recognition, transcription, and analytics, powered by secure and explainable AI.

また、大量のコミュニケーションデータのマイニングと分析を行うことで、実用的な知見を入手して、規制当局からの要求に迅速に対応できるようになります。

Rear our blog to learn how you can turn AI Insights into measurable compliance and collaboration value.