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By Alphy
You supply the list, we provide the shield.
Our proprietary Restricted List safeguards sensitive deal information in real time for banks and financial service firms. Simply upload your restricted list, and our AI ensures compliance by accurately detecting risks while minimizing false alerts, reducing regulatory, legal, and deal-related exposure.
The problem.
Standard solutions for detecting company names and ticker symbols on restricted or blackout lists rely on rule-based keywords or pattern-matching algorithms that cannot discern between different uses of words. This creates a burden for compliance managers and puts the company at risk.
The solution.
Restricted List uses a proprietary AI technology that alerts employees in real-time – rather than after the message has been sent – to restricted list watchwords. Restricted List, built with ML/AI and high-quality human generated training, is a simple email and text integration, customizable to a company’s needs.
Features and benefits.
Real-Time Detection
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Instantly identifies and alerts for company names and stock ticker symbols on restricted lists.
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Enhanced Efficiency
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Differentiates between ticker symbols and common words, reducing false positives.
Regulatory Compliance
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Helps meet SEC guidelines, keeping your institution compliant with insider trading laws and reducing reputational and litigation risks.
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Efficient Monitoring
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Integrates seamlessly with existing compliance workflows for continuous monitoring and protection.