AI TOOL PROFILE
Shield: Digital Communications Compliance for Financial Services
- Finance and Accounting
- Compliance Management
- Financial services companies
- Compliance and surveillance teams
- Legal and data governance departments
- Enterprise-level financial institutions
Pricing
Pricing was not clearly available from the provided evidence. Buyers should confirm current pricing on the vendor website.
At a glance
- Best for
- Financial services companies, Compliance and surveillance teams, Legal and data governance departments, Enterprise-level financial institutions
- Key use cases
- Regulatory Communications Surveillance, Compliance eDiscovery, Information Barrier Enforcement, Electronic Records Archiving
- Official website
- Visit shield fc official website
How AI is used
Shield is a compliance and surveillance platform designed for the financial services sector. It supports the capture and archiving of communications from various sources, which may help firms maintain audit-ready records and meet regulatory requirements such as GDPR and DORA.
The platform is intended for compliance, surveillance, legal, and data governance teams. It uses AI-based semantic and behavioral analysis to help these teams identify potential risks, such as market manipulation or misconduct, across chat, email, voice, and mobile channels.
Beyond monitoring, the software includes tools for eDiscovery and records management, which may help users conduct investigations and search large datasets. It is designed to provide context to communications, which may help reduce the volume of false positive alerts.
Buyers should confirm how the platform's data connectors align with their current communication tools and verify if the deployment timeline fits their operational needs.
Key Features
Records Management Archive
Centralized storage for electronic records to support compliant data management and retention.
AI Semantic Analysis
Uses multilayered AI to analyze the meaning and context of conversations to help detect risks.
Multi-Source Data Capture
Supports the ingestion of data from over 100 sources, including mobile, chat, email, video, and voice.
Shield Discover
A tool for eDiscovery and investigations that supports searching and case building.
InfoBarriers
Designed to help prevent Material Non-Public Information (MNPI) breaches by linking restricted lists with communication data.
Multilingual Review
Supports the review of communications in multiple languages, accents, and dialects.
Use Cases
Regulatory Communications Surveillance
Monitoring electronic communications across various channels to help detect potential market manipulation or employee misconduct.
Compliance eDiscovery
Collecting and reviewing communication records for internal investigations or regulatory requests.
Information Barrier Enforcement
Matching communications against restricted lists to help identify and reduce the risk of MNPI leaks.
Electronic Records Archiving
Maintaining a centralized, searchable archive of corporate communications for regulatory adherence.
FAQ
What is Shield used for in financial services?
- Shield is used to capture, archive, and monitor electronic communications to help firms detect market manipulation, misconduct, and ensure regulatory compliance.
What types of data can Shield capture?
- The platform supports over 100 data sources, including email, mobile chat, voice communications, video, and trade data.
Is Shield suitable for small businesses?
- The provided evidence suggests Shield is designed for enterprise-level financial institutions, specifically mentioning deployment at tier 1 banks.
Source category: Finance & Accounting
Source subcategory: Compliance Management
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