Verint for Financial Compliance

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.

跟上新的合规要求不是一个简单的打勾任务，而是一个长期的战略性方法——与合适的合作伙伴一起。.

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.

许多金融机构受到多项复杂法规的约束，这些法规影响其通信环境。通过主动验证遵守政策规则并控制信息交换，您可以减轻组织内不当行为、不必要的披露和操作失误的风险。.

我们可以帮助您的企业采取主动措施，预防问题的发生。.

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.

您还可以通过挖掘和分析大量通信数据来获得可操作的见解，这也有助于更快地响应监管请求。.

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