SIX Boosted Efficiency and Compliance in One Move
Discover how SIX streamlined call management and compliance recording, resulting in greater efficiency, flexibility, and long-term compliance.
Challenges in financial communications
The financial services industry is characterized by rigorous regulatory oversight and customer demands for instant, highly secure service. Organizations must balance continuous modernization with the need for strict data integrity and compliance.
01
Stringent regulatory mandates
Financial institutions face constant pressure to comply with obligations such as those set by MiFID II and FINRA. Failure to document all customer interactions in an audit-proof manner can result in catastrophic fines and reputational damage.
02
Overwhelming communication volumes
The large volume of daily customer interactions, particularly in client services and trading floors, demands instant and expert responsiveness. Delays in connecting clients to the right advisor can directly lead to missed opportunities and damaged relationships.
03
Complex and siloed legacy systems
Many firms still rely on fragmented, older telephony systems that do not integrate natively with modern platforms like Microsoft Teams. This operational complexity hinders cross-departmental collaboration and slows down critical service processes.
04
Maintaining a complete audit trail
All conversations, especially trader voice calls, must be captured and securely retained (revisionssicher dokumentiert) across all platforms. Capturing and easily retrieving these interactions is essential for achieving constant audit readiness.
See it in action
Get a tailored walkthrough of how our CX solution integrates seamlessly and securely with your existing core banking or financial technology. Learn how to streamline service delivery, improve efficiency, and maintain regulatory compliance.
Use cases for compliance and efficiency
Adhering to strict regulations and ensuring an excellent customer experience are crucial for your success. Our solutions deliver measurable results by transforming the complexity of financial communication into efficient workflows.
AI-powered claims and inquiry handling
Utilize AI-driven transcription and summarization to automatically log customer conversations and transfer relevant details to the CRM. This ensures full audit documentation and allows advisors to focus entirely on the client.
Intelligent routing for high-value clients
Route calls from major or important clients (VIPs) based on their account tier or plan directly to their dedicated case handler or agents with the highest qualifications. This significantly accelerates service and strengthens high-value client retention.
Proactive compliance
Detect potential compliance breaches automatically via AI-powered alerts, and ensure that every communication, including trader voice calls and mobile interactions, is automatically captured and securely archived. This is essential for meeting the zero-tolerance requirements of MiFID II and FINRA.
Automated form-filling and ticket creation
Guide clients using natural language understanding (NLU) through the process of ticket or application creation. This streamlines back-office processes, reduces form errors, and shortens the time-to-service.
Omnichannel management in the Teams client
Integrate all communication channels (phone, WhatsApp, chat) into the familiar Microsoft Teams environment. This allows for the instant routing of digital inquiries to the best-suited advisor and provides unified reporting across all touchpoints.
Trusted by leading financial institutions
The financial world demands trust and proven reliability. Our compliance recording and intelligent routing solutions are deployed globally to help banks and insurers reduce risk, enhance client service, and maximize efficiency.
"With different recording solutions for the various communication and trading platforms, the maintenance of the solutions was a nightmare. Now we only need to maintain one solution with which we meet compliance requirements across various platforms."
"With the experienced and trustworthy Recording Team, we were able to create a robust compliance recording solution for Microsoft Teams."
"The advantages of the cloud are obvious: easier manageability, more security, and modern working at scalable costs. Today, even small and medium-sized companies can use the same cloud technologies as large financial companies."
"Luware Nimbus has significantly streamlined our call center operations. The integration with MS Teams and the ease of use for our end users have made a notable difference."
Industry accreditations & partnerships
Guarantee of quality and security.
Current market data and compliance drivers: Key figures in financial transformation
Adhering to strict regulations and ensuring complete documentation is not optional for financial institutions; it’s an existential necessity. The following data clarifies why investing in a modern communication solution is mandatory.
Answering your compliance and client questions
How do you support compliance with MiFID II and FINRA recording requirements?
Our solutions automatically capture all regulated communications, including trader voice calls and digital interactions, across multiple devices. This centralized recording support your firm in meeting the strict zero-tolerance mandates of MiFID II and FINRA.
Does the system integrate with Microsoft Teams and our existing CRM?
Yes, our platform is natively built for Microsoft Teams, ensuring seamless integration with your existing telephony environment. We use tools like Power Automate to integrate with your CRM for screen pops and automatic activity logging.
How do you accelerate service for our high-value clients?
We use intelligent routing to identify high-value clients (VIPs) via CRM lookup and route them directly to their dedicated case handler or an agent with the highest skill level. This drastically reduces wait times and strengthens client loyalty.
How does Luware help us achieve instant audit readiness?
All recorded conversations are archived in a secure, audit-proof format and stored for the legally required period. The system provides powerful search and reporting features, allowing you to instantly retrieve any conversation for an audit.
Can agents handle digital interactions like WhatsApp?
Yes, our solution offers multichannel functionality, allowing agents to manage voice calls and digital messaging (e.g., WhatsApp) from a single interface within Microsoft Teams.
What is the risk of manual error during call documentation?
Our AI-powered platform automatically transcribes and summarizes call content, logging it directly into your ticketing system or CRM. This eliminates manual note-taking and drastically reduces human error during post-call documentation.
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Michael Jakob
Chief Technical Officer
