Directory · Operations, compliance and infrastructure
Surveillance and archiving
32 products carry this category. Categories are tags, so several of these also appear elsewhere.
What is meant by Surveillance and archiving?
Capture and retention of communications and trading activity, and monitoring of both for market abuse, conduct breaches and policy violations, with the records preserved in a form a regulator will accept.
Who uses Surveillance and archiving?
Compliance.
What gets confused with Surveillance and archiving?
Pre-trade compliance, which prevents. Surveillance detects, after the fact, and must retain evidence.
What should you ask a vendor about Surveillance and archiving?
Coverage of the channels your staff actually use — including mobile messaging — is the whole question.
This definition is Buyside Fintech’s own editorial work, not a vendor’s. The products listed below carry the sources we read.
Surveillance and archiving products
32 PRODUCTS
ComplianceAlpha eComms Capture, Archive and SurveillanceACA GroupIngests 85+ communication channels for archiving and AI surveillance; ACA sells a separate Market Abuse Surveillance module on the same platform.Archive IntelArchive IntelContextual-AI archiving and supervision of text, email, LinkedIn, social and chat aimed at SEC- and FINRA-regulated advisers.CMC:eSuiteb-nextCapital markets compliance modules for market abuse, insider compliance, trade surveillance, best execution and a global control room.Behavox QuantumBehavoxAI communication surveillance across voice and text in 50+ languages; Behavox also sells Polaris trade surveillance and Intelligent Archive.Polaris PlatformComplyportMAP FinTech's Polaris platform, now the transaction reporting arm of Complyport, files EMIR, EMIR REFIT, MiFIR, SFTR, ASIC, MAS and CSA reports.PATH AIeflow GlobalRegulatory platform bundling trade surveillance, eComms monitoring and archiving, best execution and EMIR/MiFIR transaction reporting.ValidusEventusMulti-asset trade surveillance, algo monitoring and market risk platform, with a Frank AI assistant for alert investigation.Global Relay ArchiveGlobal RelayCompliant capture and archiving of email, chat, voice and WhatsApp, with a surveillance module and its own compliant messaging App.GreenboardGreenboardCompliance system for SEC and FINRA workflows covering communications archiving, marketing review, firm compliance and employee supervision for RIAs, hedge funds and private funds.HadriusHadriusY Combinator-backed compliance system of record for RIAs, broker-dealers and private funds: comms supervision, marketing review, trade and personal-trading oversight.Kaiko Market DataKaikoDigital asset market data feeds, fair value pricing, indices and surveillance for institutions and regulators; the homepage announces that Kaiko has acquired Amberdata.LeapXpertLeapXpertLets staff message clients on WhatsApp, WeChat, iMessage, Telegram and Signal while capturing and archiving the business content.LSEG Regulatory Reporting SolutionsLSEGPost-trade reporting services covering EMIR and MiFID, sold alongside MiFID trade surveillance.MirrorWeb InsightMirrorWebArchiving and supervision for email, SMS, WhatsApp, Zoom and LinkedIn plus website archiving, with a supervision agent called Mira.MyComplianceOfficeMyComplianceOfficeCompliance platform covering employee personal trading, gifts and political contributions, electronic communications archive and review, trade surveillance, insider and MNPI control, and third-party risk.Nasdaq Trade Surveillance (SMARTS)NasdaqAutomated capture and market abuse monitoring for trade compliance, sold to exchanges, brokers and buy-side firms.CompliancentralNICE ActimizeEnd-to-end suite covering holistic conduct surveillance, communication surveillance, digital communication archiving and markets surveillance.OneTick Best Execution and TCAOneMarketDataBest execution and TCA built on the OneTick tick-data platform, sold within the OneTick RegTech suite alongside trade and market surveillance.Red OakRed OakCompliance software for RIAs and broker-dealers covering advertising review and communications surveillance.SaifrReviewSaifrUses AI to review marketing material, electronic communications and adverse media for financial services compliance teams.Shield Communications Compliance PlatformShieldAI eComms surveillance, supervision, archiving and eDiscovery; modules named Shield Archive, Discover, Surveillance and Supervision.Smarsh Platform (Capture, Archive, Surveillance, Discovery)SmarshCaptures email, mobile, voice, social and collaboration channels into a cloud archive with AI surveillance and eDiscovery on top.HALOSolidus LabsTrade surveillance, transaction monitoring and execution quality built first for digital assets and now sold into traditional finance.StarComplianceStarComplianceEmployee compliance software covering personal account dealing, conflicts of interest, gifts, outside activities and MNPI control rooms.SteelEye Compliance PlatformSteelEyeSingle data platform combining trade surveillance, communications surveillance, WORM archiving and trade reconstruction for buy-side firms.FederationSymphonyConnects Symphony to WhatsApp and other mobile channels so that client conversations on those channels run inside the firm's compliance controls.Symphony MessagingSymphonySecure messaging and workflow software for financial markets, used by eight of the ten largest asset managers by assets under management according to the company's own figures.Theta Lake Unified Capture and ArchivingTheta LakeCaptures, archives and risk-scores video meetings, voice and chat from Zoom, Teams, Webex and RingCentral through 100+ API integrations.TT platformTrading TechnologiesMulti-asset trade lifecycle platform for futures and options, fixed income, FX and crypto with algos, OMS, TCA and surveillance.MAST Trade SurveillanceTradingHubDetects market manipulation using front-office market risk and market impact models rather than rule thresholds.SurveyorTrillium SurveyorTrade surveillance and best execution analytics sold to hedge funds, asset managers, prop firms and brokers, with cross-product manipulation detection.VoxSmart Mobile Capture and Communication SurveillanceVoxSmartCaptures and archives mobile calls, voicemail, SMS and instant messages, with NLP surveillance and trade reconstruction on top.