This survey contains just over 50 questions and should take approximately 15 minutes to complete. If you're unsure about any question, feel free to leave it unanswered and skip it. Your insight is valuable, and all responses will remain confidential. If you have any questions, please reach out to chris.denigris@nice.com or jonathan.lappage@capco.com.

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1. Please provide the following details:

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2. How would you rank the following technology challenges? (First being your biggest challenge)

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3. How would you rank the following records management challenges? (First being your biggest challenge)

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4. What are your biggest surveillance challenges (select all that apply)?

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5. What is your monthly volume of eComms surveillance alerts?

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6. What is your monthly volume of voice comms surveillance alerts?

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7. Do you monitor non-financial misconduct (e.g. racism, sexism, bullying, harassment) or only market abuse?

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8. If you monitor non-financial misconduct, what percentage of your e-comms and voice surveillance alerts (incl. false positives) relate to non-financial misconduct (as opposed to market abuse)?

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9. What percentage of your eComms surveillance alerts are false positives? (i.e. closed almost immediately, based on cursory analyst review)

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10. What percentage of your voice comms surveillance alerts are false positives? (i.e. closed almost immediately, based on cursory analyst review)

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11. What is the most frequent cause of ecomms and voice comms false positive alerts in your business?

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12. How many STORs (Suspicious Transaction & Order Reports) did you submit to regulators, globally last year?

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13. Of your total STORs (Suspicious Transaction & Order Reports) across trade, ecomms and voice surveillance, what proportion were first detected through ecomms/voice surveillance, last year?

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14. What changes do you anticipate in 2025 occurring to your surveillance technology spend?

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15. How happy are you with the effectiveness of your eComms surveillance technology solution(s)?

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16. How happy are you with your voice comms surveillance technology solution(s)?

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17. How many vendors do you work with across eComms and voice comms solutions?

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18. Are you planning any major updates (incl. new tool implementations) for your e-comms, voice or archiving solutions?

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19. What are the main drivers for any planned technology spend changes?

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20. Are your alert handling team analysts split by surveillance channel?

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21. How many FTEs (Full time employees) work in your trade surveillance alert handling team? (note if alert handling team resources work across multiple areas e.g. voice and e-comms; or trade, e-comms and voice – base on approximate coverage per area)

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22. How many FTEs (Full time employees) work in your e-comms alerting team? (note if alert handling team resources work across multiple areas e.g. voice and e-comms; or trade, e-comms and voice – base on approximate coverage per area)

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23. How many FTEs work in your voice comms alerting team? (note if alert handling team resources work across multiple areas e.g. voice and e-comms; or trade, e-comms and voice – base on approximate coverage per area)

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24. Do you anticipate your alert handling team headcount to change?

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25. What percentage of your alert handling team is ONSHORE?

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i We adjusted the number you entered based on the slider’s scale.

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26. What percentage of your alert handling team is OFFSHORE?

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i We adjusted the number you entered based on the slider’s scale.

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27. What percentage of your alert handling team is covered by OUTSOURCED MANAGED SERVICES?

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i We adjusted the number you entered based on the slider’s scale.

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28. Would you consider managed services for reviewing comms alerts?

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29. Which of your staff are in scope for eComms capture and monitoring?

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30. Which of your staff in are in scope for voice comms capture and monitoring?

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31. How many of your staff are subject to ongoing voice capture and monitoring?

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32. How useful is comms monitoring in supporting the below?

  Not Useful Somewhat Useful Very Useful
Market Abuse Surveillance
Post Investigation market abuse Forensics (reviewing unalerted comms after a separate trigger)
Non-financial misconduct surveillance
Information leakage (e.g. unauthorized sending of data outside your organization)
eDiscovery / trade reconstruction
Customer complaints

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33. What is your current approach to BYOD (Bring your own device) and Corporate-owned devices for traders?

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34. How do you distinguish personal from business conversations?

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35. What is your monthly volume of in-scope emails, texts, chat messages etc.? (approximate number e.g. 1m+, 10m+, 100m+)

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36. What is your monthly volume of in-scope voice calls? (approximate number e.g. 1m+, 10m+, 100m+)

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37. How many words and phrases do you have in your (English or main language) ecomms lexicon?

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38. How many words and phrases do you have in your (English or main language) voice comms lexicon?

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39. Which languages do you operate ecomms lexicons for?

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40. Which languages do you operate voice comms lexicons for?

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41. Do you use lexicon, smart lexicon, or context based approaches?

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42. Are you monitoring emojis for misconduct monitoring, market abuse monitoring, or both?

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43. Have you identified any material breaches via emoji alerting in the last 12 months?

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44. Select any message types you are struggling to capture?

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45. Are you currently or do you plan on surveilling voice?

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46. If you surveil voice, which countries are you surveilling voice in? (select all that apply)

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47. Do you apply a phonetic or transcription approach to capture / monitoring? (note: phonetic refers to monitoring audio data directly without transcription; transcription refers to audio data being converted into text before monitoring)

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48. What accuracy do you achieve with your transcription?

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49. Do you record video?

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50. Does your business see a requirement to capture video in the next 1-3 years?

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51. Are you monitoring all voice comms (of in scope population) or relying on random sampling?

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52. How many of your staff are subject to comms capture and monitoring?

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53. If relying on random sampling, what percentage of voice comms do you monitor?

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54. Please order the following data challenges in order of biggest concerns to smallest concern (Top being biggest)

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55. Have you conducted look-back exercises since 2021/22 to identify historic off-channel comms usage?

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56. Which of the following AI use cases are you currently using and/or planning to use in the next 6 months? (select all that apply)

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57. Have you considered incorporating trader profiles? (e.g. prioritizing alerts based on perceived risk level of individual trade assessed through factors including missing compliance trainings; past track record of escalations)

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58. Do you have a standardized global approach to comms surveillance or incorporate local variations? (e.g. a uniform approach to in-scope employee types, scenarios and communication channels being monitored, data privacy)

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59. What is your office working policy for traders?

T