To read this content please select one of the options below:

Understanding behavior detection technology: How it finds suspicious behaviors and meets requirements of new compliance environment

Peter Adams (Vice President, Product Management, Mantas, Inc., Herndon, VA; Peter.Adams@Mantas.com)
Nancy M. Smith (Independent Consultant, Falls Church, VA; smithnancym@hotmail.com)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 January 2004

195

Abstract

Amid all the bad news of Wall Street wrongdoing, there is good news for financial services companies and compliance staff: A new generation of technology, called “behavior detection”, means that more and more financial abuses and violations will be detected in the early stages rather than long after they have severely damaged a company and its customers. In this article, we will explain: how behavior detection technology works, how it finds potential violations quickly, and how it meets the new and growing expectations and demands of regulators for comprehensive and more effective compliance systems.

Keywords

Citation

Adams, P. and Smith, N.M. (2004), "Understanding behavior detection technology: How it finds suspicious behaviors and meets requirements of new compliance environment", Journal of Investment Compliance, Vol. 5 No. 1, pp. 33-38. https://doi.org/10.1108/15285810410636055

Publisher

:

Emerald Group Publishing Limited

Copyright © 2004, Emerald Group Publishing Limited

Related articles