What it does

The Fingerprint Platform

Revolutionising communications surveillance and monitoring for regulated firms and compliance service providers.

We’ve worked closely with compliance professionals from across the Financial industry to create a communications supervision platform that is fit for purpose for any business, regardless of size or complexity.

Our platform revolutionises the process of communications surveillance and monitoring—bringing ALL communications data into one platform, risk ranking all activity for immediate review and including all the tools needed to conduct supervision really well. Fingerprint supports your business to supervise communications cost-effectively and at scale.

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Benefits & Features of Fingerprint

Fingerprint Platform Features

Enabling your monitoring team to thrive, supported by Fingerprint’s in-platform suite of compliance workflows and tools.

There is simply no replacing the compliance talent at your business or the hard work they do. Our platform is not designed to replace compliance professionals but to enhance and support their monitoring work and give them the best tools possible to do their job.

Our software makes day-to-day compliance monitoring activity streamlined, standardised and more efficient. No matter the size, or complexity of your business, Fingerprint will work for you.

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Policy-Driven Supervision

In-Platform supervision Policy & Workflows

Benefit from a living, breathing supervision policy that flexes with your firm’s requirements and drives your entire supervision process from start to finish, ensuring your team feel confident in all of the policies set, and the work they’re doing to keep your firm compliant.

Automation-Powered, Continuous Risk Management

Automation-Powered, Continuous Risk Management

Risk ranked review – ‘to do’ list

The platform’s risk ranking engine prioritises your workload – so you are only presented with the riskiest items and communications for review and investigation. No more random sampling or searching for a needle in a haystack!

Native Multi-Tenant Architecture

Oversee one or hundreds of businesses from one platform

Native Multi-Tenant Architecture

Whether you’re a directly regulated business who needs to manage the risk with your own communications, or you’re an Outsourced CCO, Consultant or Principal firm with a whole network of businesses to oversee, Fingerprint will allow you to do this effectively and compliantly within one platform.

Fingerprint Open API - Integrates with most things

Protect and leverage your existing tech – collaboration is key

Open API, cloud-based technology

To ensure you have total oversight over the risk across your business or your client network, you’ll need all of your technology working in unison. Our open API, cloud-based platform supports integration and collaboration, and will fit in seamlessly with your existing technology. 

Fingerprint In-Platform Tools

All of the tools you’ll need to supervise communications for compliance in one place

In-platform tools and workflows 

You’ll get all the in-platform tools you’ll need to supervise communications for compliance using Fingerprint. No more having to navigate away to view an attachment, create a case, or even translate the communications you’re reviewing—it can all be done on the same platform.

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The technical stuff 

How Fingerprint works

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All of your communications channels are automatically and continually ingested (yes – 24/7, 365 days a year) via encrypted and secure API gateways. If you have a network of businesses to oversee, each of your Appointed Representatives or Client’s communications channels are ingested and pulled into the same unified platform. Communications channels that can be captured are:

  • Email
  • Voice (both landline and mobile, via call recording)
  • Web Calls (the usual suspects like Teams, Zoom etc.)
  • Instant Messaging (think WhatsApp, iMessage etc.)
  • Collaboration Platforms Chat (again, the usual suspects like Teams, Slack etc.)
  • Trading Platforms Chat (Bloomberg and ICE are the most widely used)

See the full list of data connections here

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All captured communications data is transformed from abstract, unstructured communications into standardised, indexed, and searchable text. These data transformations can include:

  • Encoding voice-to-text (voice calls, web conference, voice messages)
  • Decoding attachments (on email, IM, and collaboration tools)

What this means is that all that lovely communications data from across your business or your Clients’ businesses is now standardised and accessible within the Fingerprint platform. This is where things get exciting…

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Fingerprint’s powerful Relevance Search Engine continually analyses your communications data for risk – using lexicons (keywords, phrases and other ‘risk’ parameters) set by your own compliance team. Add some Natural Language Processing (NLP) and Machine Learning into the mix, and Fingerprint will automatically identify suspicious activity within your communications data with accuracy and speed – your compliance team hasn’t had to lift a finger at this point!

When all of that clever tech pinpoints a risky item, an alert is automatically generated. Risk alerts are systematically ‘risk ranked’ utilising Fingerprint’s one-of-a-kind risk ranking algorithm, tagged according to their risk type, and ordered into a prioritised (high to low risk) ‘to do’ list for review and action by your compliance team. This will help them know what items to look at first, and spend their time efficiently.

Super cool, we know.

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Your standardised communications data is stored in a dedicated, secure s3 database and can be accessible for review externally (if ever needed) according to your regulator’s requirements, wherever you are based in the world. This supports your firm to remain compliant with data retention and accessibility requirements. If you have a network of businesses to oversee, each Appointed Representative or Client’s communications data is stored in a segregated and secure S3 bucket, meeting all data segregation and retention requirements.

Our platform meets the record retention requirements of the following global financial regulators:

EU – ESMA, including MiFID II and GDPR requirements, UK – FCA, USA – FINRA & SEC, UAE – DFSA, Singapore – MSA, Hong Kong – HKMA and Switzerland – FINMA.

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Sound Good?

Get in touch to discuss your business needs – we’re here to help!

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