Repeatable Training for Analytics. Analytics libraries need to be trained with data for both true and false examples. TC Oversight Controls is able to create controlled scenarios in order to train analytics libraries using a cache of data categorized based on the library’s requirements. TCOC organizes what clients would otherwise have to do manually; Technically Creative will build out the entire repository for users to utilize, a way to manage adding or removing data, and a method to run the data into the analytics platform, instead of clients having to build out and manage the repository manually.

Train: Create controlled scenarios to be able to train your analytics library.
Simplify: Simplify the training of your analytics library by creating a database of true and false positives. TCOC also simplifies retraining.
Organize: TCOC organizes what clients would otherwise have to do manually by building out the entire repository and sending messages to the correct destinations.

TCOC offers repeatable training for analytics systems in both training and classification data flows. The analytics system must first be primed with training data that includes audit information and a disposition. Once initial training is complete, messages can then be classified against the analytics model. Once you have a trained model, the analytics engine can be utilized to provide classification on data it has never seen before, usually far faster and with better accuracy than any lexicon-based system.

Create a Large-Scale Test Process. TC Oversight Controls can create a large-scale test process for validating system changes, including infrastructure design and hierarchy changes. This process satisfies clients’ change control requirements to evidence system changes and note the changes they made, as well as the impacts made to a system. TCOC can mimic user activity to validate infrastructure design and hierarchy changes and test by connecting to all infrastructure points.

One thing we see a lot of in this industry is the need to truly test out a system before deploying changes or moving a system to production. With TCOC, you can build out a process to reproduce production activity and volumes with actual data. This gives you the ability to load test a trade platform, feed production level mail into a compliance supervision system, or even do a confirmation that a new API process applied its change in a timely manner.

Data Migration. TC Oversight Controls is able to provide a full chain of custody migration between two systems from extraction, ingestion, and reconciliation. During a migration, the untransformed information that TCOC has collected and archived can be gathered and moved to a new data store. Data can be taken from your archives and pushed into new destinations. TCOC’s collected data is either transformed through TCOC or remains untransformed, depending on your business’s needs; the data is pushed out and sent to your new destination in its original format or a modified one. The solution itself can connect to multiple mail archive platforms, collect, extract, and feed to a new platform, as well as run compliance reporting processes to confirm your “one-to-one” occurred successfully and cleanly. Technically Creative is the industry expert focused on supporting and maintaining your historical surveillance data to meet legacy retention and proof of supervision requirements.

TCOC provides essential validation during data migration to a new system. The first step is to collect the list of objects and metadata that will be migrated. Once the full list is compiled and verified, TCOC will pull individual objects and, in some cases, metadata from the source system, process them as necessary, and load them into the new system (or in some cases onto transportation hardware). Once complete, TCOC can automatically compare the list of objects transferred and ensure that the values have been transferred without error and generate a 1-to-1 report, providing verification that no data was lost or altered. If anything is missing, TCOC can collect the missing items and resubmit them.

Data Enrichment. TC Oversight Controls can be used to enrich, transform, identify, and bifurcate various data streams. It can filter messages from the mail stream and bifurcate it into your archive and supervision system to enrich communications, collect analytics in real time, and perform data type extractions to feed into analytics platforms. When data passes through a system, it can be tagged, properties can be added, and the system can apply different types of logging and routing rules in order to improve surveillance. TCOC accepts data in all sorts of forms, from files, email, databases, and analytics/big data platforms, and sends them to destinations of your choice in its native format, enriched, merged, or transformed. Emails are sent to be data extracted for trend analytics, indexed, or content analyzed. TCOC can enhance emails in any way of your choosing, as message transformation and enhancement are fully configurable and flexible. This functionality can do anything from automatically adding users to the Cc line of an email, identifying groups or names, changing email headers, filtering attachments, adding or removing information, or any other type of message transformation named by the client.

Enrich: Enrich communications, collect analytics in real time, and perform data type extractions to feed into analytics platforms.
Transform: Transform messages in any way of your choosing, as message transformation is fully configurable and flexible.
Bifurcate: Filter messages from any data stream and bifurcate it into your archive and supervision system.
Identify: Utilize enriched data to better identify security or regulatory concerns within the data itself.

There are many different scenarios where data enrichment or transformation could be warranted within a firm, from integrating between two platforms to tagging communications for use in supervision. What we’ve come to see is most, if not all, communication supervision products don’t have the ability to incorporate all the various data sources which could result in a message needing to be supervised. Sources like a “Due Diligence” system that identifies active acquisitions and the people working on it can be used to create a more effective insider trading or exposure of privileged information policy. The basic flow outlined in this TCOC scenario is of an e-mail being directed to the archive; its participants are scanned and looked up within a control room database that houses the active mergers and acquisitions. The results are then amended to the email and, in certain cases, also bifurcated to the control room for review.

Custom Aggregation. Not all systems have aggregation capabilities for archiving 17-a4 compliance. TC Oversight Controls can transform ANY data source into archive-supported data and ensure your business remains in compliance. TCOC can aggregate any data source – whether one or multiple – and run it through the TCOC platform to feed into your archive in an archive-supported data format. TCOC can pull data from any source it can connect to in an “everything to everything” scenario. TCOC works as a data integration system that ties multiple disparate systems to each other.

TCOC can aggregate ANY data source – whether one or multiple – and feed into your archive in archive-supported data formats. In this scenario, messages are sent in a proprietary XML format with a secondary zip file containing the message attachments; there is often a need to combine these message files and resolve any user data to prevent possible errors before forwarding to a compliance monitoring solution. With TCOC, we can process your data file and validate the accounts against both confirming the address is accurate (as in finding the user) and checking if the user can utilize the terminal. Additional reports can be provided for confirming the archive received all the data and notify the account holder to fix the bad addresses.

Advanced Holistic Supervision. Utilizing only a lexicon-based approach to supervision has left compliance teams with an exceedingly large workload. Let TCOC do the heavy lifting. Reduce your review workload and apply a more advanced method to identify concerns before your reviewers even have to touch an event. TCOC provides the ability to reduce false positives and run scenarios that you physically cannot run in today’s supervision products.

TCOC Gives you the ability to integrate your E-Mail, Trade, PTA, HR, Contracts, current events, and communications channels into a single holistic item to be reviewed.

TCOC Ties in to your firm’s specific data points to create a single report that is sent to surveillance for review. The ability to incorporate actual data points gives you the capability to narrow results down to more accurately identify items of concern.

TCOC Reduces the number of false positives and false negatives through integration of your supervision process with all of your available data sources, effectively making your policies smart by incorporating true “who, what, where, when, and why” into the event capture process.