Say Goodbye to Trading Penalties with Adaptive Intelligence


In a recent speech before the Council of Institutional Investors, Securities and Exchange Commission (SEC) Chairperson Mary Jo White detailed her approach to enforcement, and described efforts to use penalties and remedies more creatively than the agency has in the past. This increases pressure on the already overburdened risk departments within large financial services companies to implement the right controls & monitor them proactively to avoid any future penalties. JPMC was in the news recently for paying $920 million in fines that could have been easily avoided if the right controls were in place.

Adaptive Intelligence (AI) is a new Big Fast Data offering from Software AG that enables financial services firms to implement the right controls and monitor them in real-time by analyzing streaming data. The following high-level features make it a differentiated offering:

- Multiple data sources can be hooked up quickly using the out-of-the-box connectors

- Rules can be defined using the drag & drop interface to analyze the data

- Hundreds of terabytes of data can be maintained in-memory to improve processing performance

- Analyzed data can be visually reviewed by using dashboards and a variety of graph APIs, and

- Alerts & notifications can be sent in real-time to mobile devices, other applications or end customers to trigger action.

Additionally, the rules deployed to process data can be changed or new rules can be introduced, on the fly, as regulations change without impacting the application.

This is a game changer for financial services companies as it not only saves dollars by avoiding regulatory penalties but also improves internal corporate governance based on the guidelines defined by the company. To top it off, the solution can be deployed within a few weeks and costs less than 1% of the penalty paid by JPMC. So, are you in?

If you would like to learn more, contact me or read more about AI here.

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