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Financial Sector Coverage

Robolitics™ Editions

Robolitics is a powerful monitoring, alerting, and reporting tool.  It provides a base solution that will grow in scope over time as new regulations come into force or as interpretations of the regulations change.  The solution ingests trade and transaction information along with client statistics, and provides a single, robust, high-performance solution for your business.

Whilst our basic product architecture remains the same, one of the core strengths of our solution is that the configuration can be tailored to the needs of individual sectors.  

The specific configuration and focus is tuned to the types of risks and threats that correspond to the 4 main business types within the financial services sector.

These additions are:

  • Buy Side
  • Sell Side
  • Retail
  • Wealth
  • Insurance.

In addition, we have a 6th edition focused on meeting the needs of new Fintech businesses.

Buy Side Edition

Strongly integrated across asset class and across regulation provides flexible internal supervision primarily focused on monitoring market movements and patterns to protect the organisation from external forces that try to manipulate markets, or from being used as an unwitting venue for a larger malfeasance strategy.

Combining strong market monitoring tools with AML and financial crime tools, it provides a single source to monitor across regulations.  The KYC tool also provides a means for sharing KYC information across multiple relationships with the same client, and our KYP tool (Know Your Product) ensures that you have correctly assessed suitability, not only for the initial transaction but as risk profiles change over time. It allows you to identify non-compliances and resolve them.

In addition, the Robolitics™ trade lake provides a potentially unique source of data for use in the front office for client analytics.

Sell Side Edition

Providing strong governance, both internally and externally.

For sell side firms, it is often as important—if not more critical—to provide strong internal monitoring of staff behaviour.  Robolitics™ not only monitors the market but can also monitor and be integrated into chat, email, and voice activity to provide a holistic view, ensuring protection for the firm.  This is especially true under MIFID2 and the Senior Managers Regime.

Additionally, in high-velocity, high-value markets, or where algo-trading is an important part of the service or strategy, it is necessary to provide real-time supervision.  Our powerful AI and machine supported learning tools enable us to spot issues as they begin, unlike traditional tools that use rule-based solutions that bolt the door after the proverbial horse has bolted and leave the organisation at risk of large fines or losses.

This powerful set of monitoring tools can also be integrated with risk-based client AML financial crime tooling and a sophisticated KYC process that manages document management securely, minimising the time and effort required to re-KYC clients.

Wealth Edition

Providing service excellence whilst reducing business risk.

The complex wealth sector often deals with a wide range of clients, from the unsophisticated to the extremely knowledgeable and demanding.  These clients often have multiple relationships with the bank, and it is often difficult to join up these personas. 

It requires strict product matching controls for risk profiles. 

Robolitics™ provides a sophisticated cross-asset, cross-regulation solution that constitutes the next generation of monitoring, alerting, and reporting tools.  Integrating into your current Sanction, PEP and internal watch lists, Robolitics ensures that you avoid risks on either side of the transaction.  Robolitics links personas across the organisation through our secure Block chain KYC tool, which shares Client information updates across the organisation.

Our KYP (Know Your Product) tool ensures that, as risk profiles change, it is possible to easily identify where existing products no longer meet client needs.  

Our MiFID reporting functionality enables you to quickly and easily, to review Transaction Costs to ensure fairness and to report transactions where needed.

Retail Banking Edition

High volume real-time AML – Financial Crime monitoring tools use AI to monitor for new threats and risks.

Designed to manage high volumes of transactions in real time, whilst reducing the cost of manual monitoring and reducing false positives.  

Robolitics™ enables sophisticated payment monitoring to identify unusual and suspicious payment patterns and flow of funds.  Easily tuneable to minimise false positives, exploiting AI to monitor both known and new / emerging threat trends. Clustering of alerts also minimises review effort and provide a 360 degree view of customer behaviour.  

Our active AI and deep learning enables us to reduce workloads with better categorisation and false positive eradication, clustering issues together to prioritise by risk and frequency and to enable dip testing where appropriate.  As a result, unlike rule-based systems, we can identify new threats before they become significant reputational risks.  In addition, we can use risk-based alerting to apply different sensitivities to different customers and categories.  

Integrating this with a secure KYC document management tool that can be used as a discrete mobile app or integrated into your current banking tools, we can reduce KYC risks, simplify the re-validation process, and spot potential abuse of document reuse to identify and monitor clients using multiple accounts.

Fintech

Fast moving Fintech Companies need fast moving compliance tooling.

Our Compliance Appliance solution is designed to meet the specific needs of Fintech businesses.  It’s a sophisticated tool that provides much higher control and surveillance than traditional, old school products, and it meets cost points that suit the needs of your business as you grow.  Our tool can be supplied as an appliance, or you can subscribe to a cloud managed service if that fits your needs better.

In addition, we will supply you with 

  • Our very secure, block chain driven mobile KYC solution that is a delight to use and can be integrated into your mobile client platform.
  • Our KYP (Know Your Product) tool, which enables you to quickly map clients to products
  • A secure workflow and case management process for dealing with issues
  • Regulatory reporting tools for PRA reporting (coming Q4 2017).