Sopica solutions are suited to meet the exacting compliance, anti-money laundering, credit card security, fraud and enterprise case management needs of securities firms and the agencies that regulate them.

 Proven models provide broad coverage across the enterprise
 Supported by on-staff subject matter experts with practical industry experience, including IT Security senior surveillance professionals
 Addresses latest PCI DSS requirements by the PCI Security Standards Council and card scheme providers

Designed to Address the Industry’s Most Pressing Issues

In an era of unprecedented market volatility, regulatory scrutiny and budgetary constraints, securities firms demand comprehensive, cost-effective and leading edge solutions. Sopica has enabled global firms to address these market pressures and able to assist you to:

 Reduce costs and maximize productivity

Achieve a holistic view of enterprise compliance at a lower cost through the use of a common platform across all products, such as equities, forex, futures, commodities. Improve productivity with focused compliance oversight, detection of trading and sales anomalies, automated SAR filing and more.

 Streamline business processes

Seamlessly consolidate existing home-grown surveillance and supervisory systems into an intuitive enterprise view of trading and sales activities. Streamline common business processes including investigation of insider trading, client order handling, Chinese wall breaches, regulatory inquiries and more.

 Leverage our IT Security deep domain expertise

Deploy a proven, industry de-facto standard surveillance solution that leverages the combined knowledge, experience and input from Sopica's team of subject matter experts and client advisory councils of leading financial institutions.


Sopica Solutions for the Securities Industry

Built upon a common platform, Sopica technology is able to integrate multiple data sources across trading surveillance, sales practices, anti-money laundering, business management, and risk units to streamline investigations. Use our eData Analytics engine (XXX) Enterprise risk management approach to centralized case management, collaborative research capability, and comprehensive oversight and reporting.

Securities Compliance - Monitor Trading Activity

Sopica's XXXXX taps in to diverse data sources to provide a central Control Room. Have a global surveillance, supervision and compliance risk management solution suite at your finger tips able enabling you to respond proactively to risk events and alerts generated by our technology.

Trading Interaction Surveillance

Use XXXXX for cross-channel trading compliance solution by processing, analysis, and cross-referenceing information from customer transactions and other vital business data. Meets requirements for monitoring market abuse, insider trading, and other regulatory issues.

Fraud Prevention

Use Sopica's enterprise data analytical engine to detect internet trading related fraud including account takeover and pump and dump threats, as well as identify potential rouge trading activity.

Anti-Money Laundering

Our software delivers an integrated suite of capabilities that includes reporting securities-specific models for suspicious trading activity and settlement instruction monitoring. This Provides firms with detection capabilities for AML red flags for securities, including manipulative trading, trading in low-priced securities, and more.

Contact us to discuss your requirements.

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