Recording assurance on a bank dealing floor
Customer snapshot
The Treasury and Markets division of a large Indian private-sector bank — 180 dealer positions across a Mumbai primary floor and a business-continuity site, trading FX, money markets, government securities and rates derivatives on Unify turrets, the ACE Recording System and Murex.
The challenge
Recording assurance was retrospective by design, and every control reported after the exposure had already closed.
Recording failures were silent — a recorder node once stopped for 3 hours 40 minutes across 42 active positions before anyone noticed, leaving an estimated 140 deals a quarter with no evidential audio.
Voice deals were keyed into Murex from memory, with a 9-minute average booking lag and a 4.1% amendment rate on ~1,200 tickets a month.
Dealer provisioning took 6 working days across three teams and systems, and exited dealers stayed configured against live recording profiles for weeks.
Recording completeness had been an open internal-audit observation for two consecutive cycles.
The solution
Exato IQ moved assurance from after-the-fact sampling to in-call enforcement, and captured the deal at the moment the call ended.
Sync-Call
A health-check agent polls each recorder node every 60 seconds and disconnects calls on affected turrets if recording stops — with a two-check fail-safe before it acts.
Txn-PoPUp
On call termination a pre-populated deal ticket surfaces with counterparty, timestamp and recording ID, and passes to Murex on confirm.
Call Sensy (STT)
Transcribes recordings with diarisation, scores sentiment and screens against a market-abuse lexicon, escalating hits into the surveillance queue.
OnboardX (UAM)
One request interface provisions into both the turret platform and the recording system, with lock, dormant and revoke as first-class actions.
Click-To-Call
F8 dialling from any application through the dealer’s assigned turret, removing misdials on high-value counterparty calls.
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See what in-call recording assurance could do for your dealing floor
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